SCF Domain,SCF Control,SCF #,"Secure Controls Framework (SCF) Control Description",Methods To Comply With SCF Controls,Evidence Request List (ERL) #,SCF Control Question,Relative Control Weighting,Function Grouping,"SCRM Tier 1 Strategic","SCRM Tier 2 Operational","SCRM Tier 3 Tactical","SP-CMM 0 Not Performed","SP-CMM 1 Performed Informally","SP-CMM 2 Planned & Tracked","SP-CMM 3 Well Defined","SP-CMM 4 Quantitatively Controlled","SP-CMM 5 Continuously Improving","AICPA TSC 2017 (Controls)","AICPA TSC 2017 (Points of Focus)","BSI Standard 200-1","CIS CSC v8.0","CIS CSC v8.0 IG1","CIS CSC v8.0 IG2","CIS CSC v8.0 IG3","COBIT 2019","COSO v2017","CSA CCM v4","CSA IoT SCF v2","ENISA v2.0",GAPP,IEC 62443-4-2,"ISO/SAE 21434 v2021","ISO 22301 v2019","ISO 27001 v2013","ISO 27001 v2022","ISO 27002 v2013","ISO 27002 v2022","ISO 27017 v2015","ISO 27018 v2014","ISO 27701 v2019","ISO 29100 v2011","ISO 31000 v2009","ISO 31010 v2009","MITRE ATT&CK 10","MPA Content Security Program v5.1","NIAC Insurance Data Security Model Law (MDL-668)","NIST AI RMF AI 100-1 v1.0","NIST Privacy Framework v1.0","NIST SSDF","NIST 800-37 rev 2","NIST 800-39","NIST 800-53 rev4","NIST 800-53 rev4 (low)","NIST 800-53 rev4 (moderate)","NIST 800-53 rev4 (high)","NIST 800-53 rev5","NIST 800-53B rev5 (privacy)","NIST 800-53B rev5 (low)","NIST 800-53B rev5 (moderate)","NIST 800-53B rev5 (high)","NIST 800-53 rev5 (NOC)","NIST 800-63B (partial mapping)","NIST 800-82 rev3 LOW OT Overlay","NIST 800-82 rev3 MODERATE OT Overlay","NIST 800-82 rev3 HIGH OT Overlay","NIST 800-160","NIST 800-161 rev 1","NIST 800-161 rev 1 C-SCRM Baseline","NIST 800-161 rev 1 Flow Down","NIST 800-161 rev 1 Level 1","NIST 800-161 rev 1 Level 2","NIST 800-161 rev 1 Level 3","NIST 800-171 rev 2","NIST 800-171 rev 3 FPD","NIST 800-171A","NIST 800-171A rev 3 IPD","NIST 800-172","NIST 800-218 v1.1","NIST CSF v1.1","NIST CSF v2.0 IPD","OWASP Top 10 v2021","PCIDSS v3.2","PCIDSS v4.0","PCIDSS v4.0 SAQ A","PCIDSS v4.0 SAQ A-EP","PCIDSS v4.0 SAQ B","PCIDSS v4.0 SAQ B-IP","PCIDSS v4.0 SAQ C","PCIDSS v4.0 SAQ C-VT","PCIDSS v4.0 SAQ D Merchant","PCIDSS v4.0 SAQ D Service Provider","PCIDSS v4.0 SAQ P2PE",Shared Assessments SIG 2023,"SWIFT CSF v2023","TISAX ISA v5.1.0","UL 2900-1","UN R155","UN ECE WP.29","US C2M2 v2.1","US CERT RMM v1.2","US CISA CPG v2022","US CJIS Security Policy 5.9","US CMMC 2.0 Level 1","US CMMC 2.0 Level 2","US CMMC 2.0 Level 3","US CMMC 2.1 (draft) Level 1","US CMMC 2.1 (draft) Level 2","US CMMC 2.1 (draft) Level 3","US CMS MARS-E v2.0","US COPPA","US DFARS Cybersecurity 252.204-70xx","US FACTA","US FAR 52.204-21","US FAR 52.204-27","US FAR Section 889","US FDA 21 CFR Part 11","US FedRAMP R4","US FedRAMP R4 (low)","US FedRAMP R4 (moderate)","US FedRAMP R4 (high)","US FedRAMP R4 (LI-SaaS)","US FedRAMP R5","US FedRAMP R5 (low)","US FedRAMP R5 (moderate)","US FedRAMP R5 (high)","US FedRAMP R5 (LI-SaaS)","US FERPA","US FFIEC","US FINRA","US FTC Act","US GLBA CFR 314","US HIPAA","HIPAA - HICP Small Practice","HIPAA - HICP Medium Practice","HIPAA - HICP Large Practice","US IRS 1075","US ITAR Part 120 (limited)","US NERC CIP","US NISPOM","US NNPI (unclass)","US NSTC NSPM-33","US Privacy Shield","US SEC Cybersecurity Rule","US SOX","US SSA EIESR v8.0","US StateRAMP Low Category 1","US StateRAMP Low+ Category 2","US StateRAMP Moderate Category 3","US TSA / DHS 1580/82-2022-01","US - AK PIPA","US - CA SB327","US-CA CPRA (Nov 2022)","US - CA SB1386","US - CO Colorado Privacy Act","US - IL BIPA","US - IL IPA","US - IL PIPA","US-MA 201 CMR 17.00","US - NV SB220","US - NY DFS 23 NYCRR500","US - NY SHIELD Act S5575B","US - OR 646A","US - SC Insurance Data Security Act","US - TX BC521","US-TX Cybersecurity Act",US-TX DIR Control Standards 2.0,"US-TX TX-RAMP Level 1","US-TX TX-RAMP Level 2","US-TX SB820","US-VA CDPA 2023","US-VT Act 171 of 2018","EMEA EU EBA GL/2019/04","EMEA EU DORA","EMEA EU ePrivacy (draft)","EMEA EU GDPR","EMEA EU NIS2","EMEA EU PSD2","EMEA EU EU-US Data Privacy Framework","EMEA Austria","EMEA Belgium","EMEA Czech Republic","EMEA Denmark","EMEA Finland","EMEA France","EMEA Germany","EMEA Germany Banking Supervisory Requirements for IT (BAIT)","EMEA Germany C5-2020","EMEA Greece","EMEA Hungary","EMEA Ireland","EMEA Israel CDMO v1.0","EMEA Israel","EMEA Italy","EMEA Kenya DPA 2019","EMEA Luxembourg","EMEA Netherlands","EMEA Nigeria DPR 2019","EMEA Norway","EMEA Poland","EMEA Portugal","EMEA Qatar PDPPL","EMEA Russia","EMEA Saudi Arabia Critical Security Controls","EMEA Saudi Arabia SACS-002","EMEA Saudi Arabia SAMA CSFv1.0","EMEA Saudi Arabia ECC-12018","EMEA Saudi Arabia OTCC-1 2022","EMEA Serbia 87/2018","EMEA Slovak Republic","EMEA South Africa","EMEA Spain","EMEA Spain CCN-STIC 825","EMEA Sweden","EMEA Switzerland","EMEA Turkey","EMEA UAE","EMEA UK CAF v3.1","EMEA UK CAP 1850","EMEA UK Cyber Essentials","EMEA UK DPA","EMEA UK GDPR","APAC Australia Essential 8 ML 1","APAC Australia Essential 8 ML 2","APAC Australia Essential 8 ML 3","APAC Australia Privacy Act","APAC Australian Privacy Principles","APAC Australia ISM 2022","APAC Australia IoT Code of Practice","APAC Australia Prudential Standard CPS230","APAC Australia Prudential Standard CPS234","APAC China Data Security Law (DSL)","APAC China DNSIP","APAC China Privacy Law","APAC Hong Kong","APAC India ITR","APAC Indonesia","APAC Japan APPI","APAC Japan ISMAP","APAC Malaysia","APAC New Zealand Health ISF","APAC New Zealand NZISM 3.6","APAC New Zealand Privacy Act of 2020","APAC Philippines","APAC Singapore","APAC Singapore Cyber Hygiene Practice","APAC Singapore MAS TRM 2021","APAC South Korea","APAC Taiwan","Americas Argentina","Americas Argentina Reg 132-2018","Americas Bahamas","Americas Bermuda BMACCC","Americas Brazil LGPD","Americas Canada CSAG","Americas Canada OSFI B-13","Americas Canada PIPEDA","Americas Chile","Americas Colombia","Americas Costa Rica","Americas Mexico","Americas Peru","Americas Uruguay","Minimum Security Requirements MCR + DSR","Identify Minimum Compliance Requirements (MCR)","Identify Discretionary Security Requirements (DSR)","SCF-B Business Mergers & Acquisitions","SCF-I Cyber Insurance Duty of Care","SCF-E Embedded Technology","SCF-R Ransomware Protection",Risk Threat Summary,"Risk R-AC-1","Risk R-AC-2","Risk R-AC-3","Risk R-AC-4","Risk R-AM-1","Risk R-AM-2","Risk R-AM-3","Risk R-BC-1","Risk R-BC-2","Risk R-BC-3","Risk R-BC-4","Risk R-BC-5","Risk R-EX-1","Risk R-EX-2","Risk R-EX-3","Risk R-EX-4","Risk R-EX-5","Risk R-EX-6","Risk R-EX-7","Risk R-GV-1","Risk R-GV-2","Risk R-GV-3","Risk R-GV-4","Risk R-GV-5","Risk R-GV-6","Risk R-GV-7","Risk R-GV-8","Risk R-IR-1","Risk R-IR-2","Risk R-IR-3","Risk R-IR-4","Risk R-SA-1","Risk R-SA-2",Control Threat Summary,"Threat NT-1","Threat NT-2","Threat NT-3","Threat NT-4","Threat NT-5","Threat NT-6","Threat NT-7","Threat NT-8","Threat NT-9","Threat NT-10","Threat NT-11","Threat NT-12","Threat NT-13","Threat NT-14","Threat MT-1","Threat MT-2","Threat MT-3","Threat MT-4","Threat MT-5","Threat MT-6","Threat MT-7","Threat MT-8","Threat MT-9","Threat MT-10","Threat MT-11","Threat MT-12","Threat MT-13","Threat MT-14","Threat MT-15","Threat MT-16","Errata 2023.4" Cybersecurity & Data Protection Governance,Cybersecurity & Data Protection Governance Program ,GOV-01,Mechanisms exist to facilitate the implementation of cybersecurity & data protection governance controls.,"- Steering committee - Digital Security Program (DSP) - Cybersecurity & Data Protection Program (CDPP)","E-GOV-01 E-GOV-02",Does the organization facilitate the implementation of cybersecurity & data protection governance controls?,10,Identify,X,X,X,There is no evidence of a capability to facilitate the implementation of cybersecurity & data privacy governance controls.,"Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends. • Compliance efforts are not tied into an enterprise-wide cybersecurity and/ or data privacy program.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function to determine prioritized and authoritative guidance for cybersecurity and data protection (e.g., data privacy) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization that includes cybersecurity & data privacy governance as part of the broader operational plan. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to facilitate the implementation of secure and compliant practices to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. • A GRC function, or similar function, provides scoping guidance to determine control applicability. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program. The steering committee establishes a clear and authoritative accountability structure for cybersecurity and data protection operations. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of cybersecurity & data privacy governance controls.",CC1.2,"CC1.1-POF1 CC2.3-POF5","4 4.1 4.2 4.3 4.4 5 7 7.1 7.2 7.4 7.5 8 8.1 8.2 8.4 10 10.1 10.2 10.2.1 10.2.2",,,,,"EDM01.02 APO01.09 APO04.01 APO13.01 APO13.02",Principle 2,"GRC-05 GRC-07","GVN-01 GVN-02",,8.2.1,,"RQ-05-02.a RQ-05-02.b","5.2 5.2.1 5.2.2","4.3 4.4 5.1 6.1.1","4.4 5.1 5.1(a) 5.1(b) 5.1(c) 5.1(d) 5.1(e) 5.1(f) 5.1(g) 5.1(h) 6.1 6.1.1 6.1.1(a) 6.1.1(b) 6.1.1(c) 6.1.1(d) 6.1.1(e)(1) 6.1.1(e)(2) 8.1 10.1","5.1 5.1.1","5.1 5.4 5.37","5.1 5.1.1",,"5.3.1 5.3.2 5.3.3 5.4 5.4.1 5.4.1.1 5.4.2 5.5 5.5.1 5.5.2 5.5.3 5.5.4 5.5.5 5.5.5.1 5.5.5.2 5.5.5.3 5.6.1 5.6.2 5.6.3 5.7 5.7.1 5.7.2 5.7.3 5.8 5.8.1 5.8.1 6.2 6.2.1 6.2.1.1 6.5","5.1 5.10 5.11",,,,OR-1.0,"Sec 4(A) Sec 4(B)(1) Sec 4(B)(2) Sec 4(B)(3) Sec 4(B)(4) Sec 4(D)(1) Sec 4(E)(1) Sec 4(G)",,"GV.PO-P1 GV.PO-P6",,,,PM-1,,,,PM-1,,,,,PM-1,,,,,,,,,,,,,3.15.1.a,,,,,,"GV.OC GV.RM GV.SC GV.RR GV.PO ID.RA ID.IM PR.AA PR.AT PR.DS PR.PS PR.IR DE.CM DE.AE RS.MA RS.AN RS.CO RS.MI RC.RP RC.CO",,"12.1 12.1.1",A3.1.2,,,,,,,,,,C.7,,"1.2 1.2.1 9.1",,7.1.2,7.1.2,"PROGRAM-2.A.MIL1 PROGRAM-2.B.MIL2 PROGRAM-2.C.MIL2 PROGRAM-2.D.MIL2 PROGRAM-2.E.MIL2 PROGRAM-2.F.MIL2 PROGRAM-2.G.MIL3 PROGRAM-2.H.MIL3 PROGRAM-2.I.MIL3 PROGRAM-2.J.MIL3","EF:SG2.SP1 EF:SG2.SP2 OPF:SG1.SP1",,"5.1 5.1.1 5.1.1.1 5.1.1.2",,,,,,,PM-1,,"252.204-7008 252.204-7012",,,,,,,,,,,,,,,,§ 1232h,,S-P (17 CFR §248.30),,"3.13(a) 3.13(a)(1) 3.13(a)(2) 3.13(a)(3) 314.4(a) 314.4(b) 314.4(c) 314.4(c)(2) 314.4(g)","164.306 164.306(a) 164.306(b) 164.306(c) 164.306(d) 164.306(e) 164.308(a)(1)(i) 164.530(j) 164.316 164.316(a) 164.316(b)",10.S.A,8.M.A,"8.M.A 10.M.A",PM-1,,,8-100,,,,,,5.1,,,,,45.48.530,,,,,,,,"17.03(1) 17.04 17.03(2)(b)(2)",,500.02,"Sec 4(2)(a) Sec 4(2)(b)(ii) Sec 4(2)(b)(ii)(A) Sec 4(2)(b)(ii)(A)(1) Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(A)(4) Sec 4(2)(b)(ii)(A)(5) Sec 4(2)(b)(ii)(A)(6) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(B)(3) Sec 4(2)(b)(ii)(B)(4) Sec 4(2)(b)(ii)(C)(1) Sec 4(2)(b)(ii)(C)(2) Sec 4(2)(b)(ii)(C)(3) Sec 4(2)(b)(ii)(C)(4)",,"38-99-20(A) 38-99-20(B)(1) 38-99-20(B)(2) 38-99-20(B)(3) 38-99-20(B)(4) 38-99-20(D)(1) 38-99-20(E)(1) 38-99-20(G)",Sec. 521.052,Sec 10,PM-1,,,,59.1-578.3,"§ 2447(a) § 2447(a)(1) § 2447(a)(1)(A) § 2447(a)(1)(B) § 2447(a)(1)(C) § 2447(a)(1)(D) § 2447(a)(2) § 2447(b) § 2447(c) § 2447(c)(1) § 2447(c)(1)(A) § 2447(c)(1)(A)(i) § 2447(c)(1)(A)(ii) § 2447(c)(1)(A)(iii) § 2447(c)(1)(A)(iv) § 2447(c)(1)(A)(v)",,"Art 5.1 Art 16.1(a) Art 16.1(b) Art 16.1(c) Art 16.1(d) Art 16.1(e) Art 16.1(f) Art 16.1(g) Art 16.1(h)",,"Art 32.1 Art 32.2 Art 32.3 Art 32.4","Article 21.1 Article 21.2(a) Article 21.2(b) Article 21.2(c) Article 21.2(d) Article 21.2(e) Article 21.2(f) Article 21.2(g) Article 21.2(h) Article 21.2(i) Article 21.2(j)",Art 3,,"Sec 14 Sec 15",Art 16,Art 13,Art 41 ,"Sec 5 Sec 32 Sec 33 Sec 34 Sec 35",Art 34,"Sec 9 Sec 9a Annex",4.1,OIS-01,Art 10,Sec 7,Sec 2,"3.2 4.25","Sec 16 Sec 17","Sec 31 Sec 33 Sec 34 Sec 35",,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15 Art 16 Art 17",,"Art 7 Art 19",,TPC-25,3.1.1,"1-2-1 1-3-2",1-1,,,"Sec 19 Sec 21",,6.1 [ORG.1],Sec 31,Art 7,Art 12,"Sec 15 Sec 16","A1.a B1.a B1.b",A1,,,,,,,"APP Part 1 APP Part 11",,0888,,,"13 18 19",,Sec 4,"Article 58 Article 58(1) Article 58(2) Article 58(3) Article 58(4)",Principle 4,Sec 8,"Art 9 Art 10 Art 12 Art 13 Art 14 Art 15 Art 16 Art 17 Art 18 Art 19 Art 20 Art 21 Art 22 Art 23 Art 24 Art 28",Article 20,"4.1 4.2 4.3 4.4 4.4.1 4.4.2 4.4.2.1 4.4.4 4.4.5 4.4.5.3 4.5 4.5.1 4.5.1.1 4.5.1.2 4.5.2 4.6 4.6.1 4.9.1 4.9.1.1 4.9.2 4.9.2.1 4.9.2.2 5.1 5.1.1 5.1.2",Sec 9,"3.1 9.1",5.1.14.C.01,,"Sec 25 Sec 27 Sec 28","Sec 12 Sec 24",,,"Art 3 Art 29 Art 30",Art 27,"Art 9 Art 30",,Sec 6,"4 5.4",,"6.5 6.6 6.7 6.23","1.1.2 1.2 3.0",Principle 7,Art 7,Art 4,Art 10,Art 19,"Art 9 Art 16 Art 17",,,,,x,"MA 201 CMR 17 NAIC",x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Cybersecurity & Data Protection Governance,Steering Committee & Program Oversight,GOV-01.1,"Mechanisms exist to coordinate cybersecurity, data protection and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis.","- Steering committee - Digital Security Program (DSP) - Cybersecurity & Data Protection Program (CDPP)",E-GOV-03,"Does the organization coordinate cybersecurity, data protection and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis?",7,Identify,X,X,,"There is no evidence of a capability to coordinate cybersecurity, data privacy and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis.","Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program. • Organizational leadership maintains an informal process to review and respond to trends. • Procedures for important tasks are documented and assigned to individuals or teams.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Executive leadership team (e.g., corporate-level officers, board of directors, etc.) take an active role in defining and enforcing Business As Usual (BAU) practices across the organization to operationalize cybersecurity & data privacy principles. • A GRC function, or similar function, tracks the efforts to determine if Business As Usual (BAU) reinforcement efforts impact metrics associated with cybersecurity & data privacy controls.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate cybersecurity, data privacy and business alignment through a steering committee or advisory board, comprised of key cybersecurity, data privacy and business executives, which meets formally and on a regular basis.",,"CC1.2-POF1 CC1.2-POF2 CC1.2-POF3 CC1.2-POF4 CC1.5-POF3 CC1.5-POF4 CC1.5-POF5 CC2.2-POF4 CC2.3-POF3","4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.1.5 4.1.6 4.2 4.4 7.5 8.3 8.4",,,,,,,,,,,,RQ-05-08,,"4.3 5.1 6.2 7.4 9.3 10.2","4.4 5.3 5.3(a) 5.3(b) 9.3 9.3.1 9.3.2(a) 9.3.2(b) 9.3.2(c) 9.3.2(d) 9.3.2(d)(1) 9.3.2(d)(2) 9.3.2(d)(3) 9.3.2(d)(4) 9.3.2(e) 9.3.2(f) 9.3.2(g) 9.3.3 10.1",,,5.1,,,,,,,,"Sec 4(B)(1) Sec 4(B)(2) Sec 4(B)(3) Sec 4(B)(4) Sec 4(D)(1) Sec 4(E)(2)(a) Sec 4(E)(2)(b)","GOVERN 2.3 MAP 3.5 MAP 5.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.OC-02 GV.RM-03 GV.RR-03 GV.OV-01 GV.OV-02 ID.IM-01",,,,,,,,,,,,,C.6,,,,,,"ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-1.E.MIL2 RISK-1.F.MIL2 RISK-1.H.MIL3 RISK-5.F.MIL3 ACCESS-4.D.MIL3 ACCESS-4.F.MIL3 SITUATION-4.D.MIL3 RESPONSE-5.D.MIL3 THIRD-PARTIES-3.D.MIL3 WORKFORCE-4.D.MIL3 ARCHITECTURE-5.D.MIL3 PROGRAM-2.C.MIL2 PROGRAM-2.D.MIL2 PROGRAM-2.E.MIL2 PROGRAM-2.F.MIL2 PROGRAM-2.G.MIL3 PROGRAM-2.H.MIL3 PROGRAM-2.I.MIL3 PROGRAM-2.J.MIL3 PROGRAM-3.D.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"314.4(a)(2) 314.4(g)",,,,,,,,,,,,"17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii) FORM 8-K ITEM 1.05(a)",,,,,,,,,,,,,,,,,,,,"38-99-20(B)(1) 38-99-20(B)(2) 38-99-20(B)(3) 38-99-20(B)(4) 38-99-20(D)(1) 38-99-20(E)(2)(a) 38-99-20(E)(2)(b)",,,,,,,,,"3.2.1(2) 3.2.1(3) 3.2.1(4)","Art 5.2 Art 5.2(a) Art 5.2(b) Art 5.2(c) Art 5.2(d) Art 5.2(e) Art 5.2(f) Art 5.2(g) Art 5.2(h) Art 5.2(i)(i) Art 5.2(i)(ii) Art 5.2(i)(iii)",,,Article 21.2(f),,,,,,,,,,"1.1 1.2 1.2(a) 1.2(b) 1.2(c) 1.2(d) 1.2(e) 1.2(f) 2.1 2.2 2.3 2.4 2.5",,,,,,,,,,,,,,,,,,,3.1.1,,,,,,,,,,,,"A1.a A1.c D2.a",,,,,,,,,,0725,,"20 21 22(a) 20 21 22(a) 22(b) 22(c) 23 24 25","13 19",,,,,,,,"4.1 4.4.1.2 4.4.1.3 4.4.2 4.4.2.1 4.4.4 4.4.5 4.5.3 4.6 4.6 4.6.1.1 4.6.1.2 4.6.2 4.6.3 4.6.3.1 4.6.3.2 4.6.2.3 4.6.2.4 4.9 4.9.1 4.9.1.1 4.9.2 4.9.2.1 4.9.2.2",,,3.2.9.C.01,,,,,"3.1.1 3.1.2 3.1.3 3.1.4 3.1.5 3.1.6 3.1.7(a) 3.1.7(b) 3.1.7(c) 3.1.7(d) 3.1.7(e) 3.1.7(f) 3.1.7(g) 3.1.8(a) 3.1.8(b) 3.1.8(c) 3.1.8(d) 3.1.8(e)",,,,,,"5.1 5.6",,"6.5 6.6 6.7 6.21 6.22 6.23 6.24","1.1 3.1.8",,,,,,,,,,,,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Status Reporting To Governing Body,GOV-01.2,Mechanisms exist to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data protection program.,,"E-CPL-05 E-CPL-09 E-GOV-03 E-GOV-04 E-GOV-05 E-GOV-06 E-GOV-07 E-GOV-13",Does the organization provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data protection program?,5,Identify,X,X,,There is no evidence of a capability to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.,"SP-CMM1 is N/A, since a structured process is required to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide governance oversight reporting and recommendations to those entrusted to make executive decisions about matters considered material to the organization’s cybersecurity & data privacy program.",,"CC2.2-POF2 CC2.3-POF3 CC2.3-POF5 CC4.2-POF2","4.2 4.3 4.4 8.3 8.4",,,,,,,,,,,,,,,"7.4 7.4(a) 7.4(b) 7.4(c) 7.4(d) 9.1 9.1(a) 9.1(b) 9.1(c) 9.1(d) 9.1(e) 9.1(f) 9.3 9.3.1 9.3.2(a) 9.3.2(b) 9.3.2(c) 9.3.2(d) 9.3.2(d)(1) 9.3.2(d)(2) 9.3.2(d)(3) 9.3.2(d)(4) 9.3.2(e) 9.3.2(f) 9.3.2(g) 9.3.3",,,,,,,,,,,,"GOVERN 2.3 MAP 3.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.OV GV.OV-01 ID.IM-01",,,,,,,,,,,,,A.1.8,,,,,,"ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-1.E.MIL2 RISK-1.F.MIL2 RISK-5.F.MIL3 ACCESS-4.F.MIL3 SITUATION-4.F.MIL3 RESPONSE-5.F.MIL3 THIRD-PARTIES-3.F.MIL3 WORKFORCE-4.F.MIL3 ARCHITECTURE-5.F.MIL3 PROGRAM-3.F.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"314.4(i) 314.4(i)(1) 314.4(i)(2)",,,,,,,,,,,,"17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii)",,,,,,,,,"7102(a)(1)(A) 7102(a)(1)(B) 7102(a)(1)(C) 7102(a)(1)(D) 7102(a)(1)(E) 7102(a)(1)(F) 7102(a)(2) 7102(b)",,,,,,,,,,,,,,,,,,,,"3.3.1(13)(e) 3.3.5(24)",Art 13.5,,,,,,,,,,,,,"3.9 3.11 4.10 7.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A1.c D2.a",,,,,,,,,,,,"30 58(a) 58(b) 58(c)",,,,,,,,,"4.4.1.2 4.6 4.6.1.1 4.6.1.2 4.6.2 4.6.3 4.6.3.1 4.6.3.2 4.6.2.3 4.6.2.4 4.7 4.9 4.9.1 4.9.1.1 4.9.2 4.9.2.1 4.9.2.2",,,,,,,,,,,,,,,,,3.1.8,,,,,,,,,,,,,,,"R-AC-1 R-EX-3 R-EX-4 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7",R-AC-1,,,,,,,,,,,,,,R-EX-3,R-EX-4,,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Publishing Cybersecurity & Data Protection Documentation ,GOV-02,"Mechanisms exist to establish, maintain and disseminate cybersecurity & data protection policies, standards and procedures.","- Steering committee - Digital Security Program (DSP) - Cybersecurity & Data Protection Program (CDPP) - Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.) - Wiki - SharePoint","E-GOV-08 E-GOV-09 E-GOV-11","Does the organization establish, maintain and disseminate cybersecurity & data protection policies, standards and procedures?",10,Identify,X,X,X,"There is no evidence of a capability to establish, maintain and disseminate cybersecurity & data privacy policies, standards and procedures.","Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish, maintain and disseminate cybersecurity & data privacy policies, standards and procedures.",CC5.3,"CC1.4-POF1 CC2.2-POF1 CC2.2-POF4 CC2.2-POF7 CC5.3-POF1 CC7.2-POF1","4.2 7.3",,,,,APO01.09,Principle 12,"A&A-01 AIS-01 BCR-01 CCC-01 CEK-01 DCS-01 DCS-02 DCS-03 DCS-04 DSP-01 GRC-01 GRC-02 HRS-01 HRS-02 HRS-03 HRS-04 IAM-01 IAM-02 IPY-01 IVS-01 LOG-01 SEF-01 SEF-02 STA-01 STA-12 TVM-01 TVM-02 UEM-01","GVN-01 GVN-02 POL-03",SO1,8.2.1,,"RQ-05-01.a RQ-05-01.b","5.2.1 5.2.2","4.3 5.2 7.5.1 7.5.2 7.5.3","5.1(a) 5.2 5.2(a) 5.2(b) 5.2(c) 5.2(d) 5.2(e) 5.2(f) 5.2(g) 7.5 7.5.1 7.5.1(a) 7.5.1(b) 7.5.2 7.5.2(a) 7.5.2(b) 7.5.2(c) 7.5.3 7.5.3(a) 7.5.3(b) 7.5.3(c) 7.5.3(d) 7.5.3(e) 7.5.3(f)","5.1.1 6.2.1 9.1.1","5.1 5.37","5.1.1 6.2.1 9.1.1",,"6.2 6.2.1 6.2.1.1",,,,,"OR-1.0 OR-3.0 OP-2.0 PS-2.0 TS-2.4 TS-2.6 TS-2.8 TS-2.11 TS-3.0",,"GOVERN 1.0 GOVERN 1.2 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5","GV.PO-P1 GV.PO-P6 GV.MT-P3 GV.MT-P4 GV.MT-P5 GV.MT-P6 GV.MT-P7 CT.PO-P1 CT.PO-P2 CT.PO-P3 CM.PO-P1 PR.PO-P4",,P-5,,PM-1,,,,"AC-1 AT-1 AU-1 CA-1 CM-1 CP-1 IA-1 IR-1 MA-1 MP-1 PE-1 PL-1 PM-1 PS-1 PT-1 RA-1 SA-1 SC-1 SI-1 SR-1",,,,,PM-1,,,,,,,,,,,,,,"3.4.9[a] 3.9.2[a]","A.03.15.01.a[01] A.03.15.01.a[02] A.03.15.01.b[01] A.03.15.01.b[02]",,,ID.GV-1,GV.PO-01,,"12.1 12.1.1","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1 12.1.1 12.1.2 12.1.3",3.1.1,"1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8 12.1.1 12.1.2 12.1.3","3.1.1 12.1.1 12.1.2 12.1.3","3.1.1 8.1.1 9.1.1 12.1.1 12.1.2 12.1.3","2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1 12.1.1 12.1.2 12.1.3","2.1.1 3.1.1 8.1.1 9.1.1 12.1.1 12.1.2","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3","3.1.1 9.1.1 12.1.1 12.1.2 12.1.3",C.1,,"1.1 1.1.1 7.1.1",,,,"ASSET-5.C.MIL3 THREAT-3.C.MIL3 RISK-5.C.MIL3 ACCESS-4.C.MIL3 SITUATION-4.C.MIL3 RESPONSE-5.C.MIL3 THIRD-PARTIES-3.C.MIL3 WORKFORCE-4.C.MIL3 ARCHITECTURE-5.C.MIL3 PROGRAM-3.C.MIL3","EF:SG2.SP1 EF:SG2.SP2",,"5.8 5.9",,,,,,,PM-1,,"252.204-7008 252.204-7012",,,,,"§ 11.10 § 11.10(j)",,,,,,,,,,,§ 1232h,D1.G.SP.B.4,S-P (17 CFR §248.30),,"314.4(c) 314.4(c)(8) 314.4(e)","164.306 164.308 164.308(a)(1)(i) 164.312 164.316 164.316(a) 164.316(b) 164.316(b)(1) 164.316(b)(1)(i) 164.316(b)(1)(ii) 164.316(b)(2)(ii) 164.530(i) 164.530(i)(1) 164.530(i)(2) 164.530(i)(3) 164.530(j) 164.530(j)(1)","4.S.A 10.S.A",4.M.B,"4.M.B 10.M.A","1.8.2 2.C.2 PM-1",,,,,,,,,"5.1 5.2",,,,"III.B III.B.1.d III.C III.C.1 III.C.1.a III.C.1.b III.C.3 III.D",45.48.530,,,,,,,,"17.03(1) 17.04 17.03(2)(b)(2)",,500.03,,,,,Sec 10,PM-1,,,Sec 11.175(b),,§ 2447(b)(3),"3.4.1(28) 3.4.1(29) 3.4.5(38)","Art 6.2 Art 9.4(a) Art 9.4(d) Art 9.4(e) Art 9.4(f)",,"Art 32.1 Art 32.2 Art 32.3 Art 32.4","Article 21.1 Article 21.2(a) Article 21.2(b) Article 21.2(c) Article 21.2(d) Article 21.2(e) Article 21.2(f) Article 21.2(g) Article 21.2(h) Article 21.2(i) Article 21.2(j)",Art 3,,"Sec 14 Sec 15",Art 16,,,,,,"4.2 4.3 4.8","OIS-01 OIS-02 SP-01",,,,"1.1 4.1 4.25 5.2 5.3 9.1 10.1 11.2 12.1 13.1 14.1 15.1 17.1 18.1 20.1 21.1 22.1 24.1 25.1",,,,,,4.1(1),,,,Article 8.4,,,TPC-25,3.1.3,"1-3-1 1-3-3","1-1 1-1-1",,,,,"6.1 [ORG.1] 6.2 [ORG.2]",,,,,"A1.a B1.a B1.b","A1 A5",,,,,,,,APP 1,"0047 0888 1478 1602 1784 1785 1551",,,"18 19",,,,,,,,"4.4.1 4.4.4 4.4.5 4.4.5.1 4.4.5.3 4.5.1 4.5.2 4.5.3 4.5.3.1 4.6 4.6.1 4.8.1 4.8.1.1 4.8.2 4.8.2.1 4.8.2.2 5.1.1",,"1.4.2 1.5 3.2 4.1 4.2 5.2 6.2 7.2 8.2 9.2 10.2 11.2 12.2 13.2 14.2 15.2 16.2 17.2 18.2 19.2","5.1.7.C.01 5.1.14.C.01 5.1.16.C.01 5.1.16.C.02 5.1.17.C.01 5.1.18.C.01 5.1.19.C.01 5.1.20.C.01 5.1.20.C.02 5.2.3.C.01 5.2.3.C.02",,,,,3.2.1,,,,,,,,"6.1 6.3",1.1.2,,,,,,,,,,,x,MA 201 CMR 17,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Exception Management,GOV-02.1,"Mechanisms exist to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.",,,"Does the organization prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded?",8,Protect,X,X,X,"There is no evidence of a capability to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.","Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit exceptions to standards, except when the exception has been formally assessed for risk impact, approved and recorded.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ID.RA-07,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Periodic Review & Update of Cybersecurity & Data Protection Program,GOV-03,"Mechanisms exist to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. ","- Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.) - Steering committee",E-GOV-12,"Does the organization review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness? ",7,Identify,X,X,X,"There is no evidence of a capability to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. ","Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends. • Documentation change control processes do not exist or are not formal. • People affected by documentation changes are provided notification of the policy and standard changes. • Informal recommendations are leveraged to update existing policies and standards. • Unstructured review of the cybersecurity and/ or data privacy program is performed on an annual basis.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • Formal documentation review process is performed on an annual basis. • Documentation review process includes the scope of applicable statutory, regulatory and contractual obligations. • Recommendations for documentation edits are submitted for review and are handled in accordance with documentation change control processes. • Updated documentation versions are published at least annually, based on the review process. • People affected by documentation changes are provided notification of the policy and standard changes.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program to the organization's Board of Directors. • Formal documentation review process is performed on an annual basis. • Documentation review process includes the scope of applicable statutory, regulatory and contractual obligations. • Recommendations for documentation edits are submitted for review and are handled in accordance with documentation change control processes. • Updated documentation versions are published at least annually, based on the review process. • People affected by documentation changes are provided notification of the policy and standard changes.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review the cybersecurity & data privacy program, including policies, standards and procedures, at planned intervals or if significant changes occur to ensure their continuing suitability, adequacy and effectiveness. ","CC5.3 ","CC2.2-POF4 CC2.2-POF7 CC5.3-POF6","4.3 4.4 8.3 8.4",,,,,"EDM01.01 EDM01.03 EDM05.01 APO02.02 APO13.03",Principle 12,"A&A-01 AIS-01 BCR-01 CCC-01 CEK-01 DCS-01 DCS-02 DCS-03 DCS-04 DSP-01 GRC-01 GRC-02 GRC-03 HRS-01 HRS-02 HRS-03 HRS-04 IAM-01 IAM-02 IPY-01 IVS-01 LOG-01 SEF-01 SEF-02 STA-01 TVM-01 TVM-02 UEM-01",,SO1,8.2.1,,RQ-05-08,,"6.1.1 7.4","7.5.2 7.5.2(a) 7.5.2(b) 7.5.2(c)",5.1.2,"5.1 5.37",5.1.2,,6.2.1.2,,,,,OP-2.0,Sec 4(G),,GV.MT-P2,,,,PM-1,,,,"AC-1 AT-1 AU-1 CA-1 CM-1 CP-1 IA-1 IR-1 MA-1 MP-1 PE-1 PL-1 PM-1 PS-1 PT-1 RA-1 SA-1 SC-1 SI-1 SR-1",,,,,PM-1,,,,,,,,,,,,,3.15.1.b,,A.03.15.01.b[01],,,,GV.PO-02,,,"1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 9.1.1 10.1.1 11.1.1 12.1 12.1.1 12.1.2",3.1.1,"1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8 12.1.1 12.1.2 12.1.3","3.1.1 12.1.1 12.1.2 12.1.3","3.1.1 8.1.1 9.1.1 12.1.1 12.1.2 12.1.3","2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1 12.1.1 12.1.2 12.1.3","2.1.1 3.1.1 8.1.1 9.1.1 12.1.1 12.1.2","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1 12.1.1 12.1.2 12.1.3","3.1.1 9.1.1 12.1.1 12.1.2",P.2.4,,,,,,,"EF:SG2.SP1 EF:SG2.SP2 OPF:SG1.SP2 OPF:SG1.SP3 OPF:SG2.SP1",,,,,,,,,PM-1,,,,,,,,,,,,,,,,,,§ 1232h,,,,"314.4(b) 314.4(g)","164.306(e) 164.316(b) 164.316(b)(1) 164.316(b)(1)(i) 164.316(b)(1)(ii) 164.316(b)(2)(iii) 164.530(i)(2)",10.S.A,,10.M.A,PM-1,,"CIP-003-6 R1",,,,,,,,,,,,45.48.530,,,,,,,,,,,Sec 4(2)(b)(ii)(A)(6),,38-99-20(G),,Sec 10,PM-1,,,,,"§ 2447(b)(8)(B) § 2447(b)(9) § 2447(b)(9)(A) § 2447(b)(9)(B)",3.3.1(14),,,"Art 32.1 Art 32.2 Art 32.3 Art 32.4",,Art 3,,"Sec 14 Sec 15",Art 16,,,,,,"4.2 4.8","OIS-01 SP-02",,,,"1.1 5.2 9.1 10.1 11.2 13.1 14.1 15.1 17.1 18.1 21.1 22.1 24.1 25.1",,,,,,,,,,,,,,,"1-1-3 1-3-4 1-6-4 1-9-6 1-10-5 2-2-4 2-3-4 2-4-4 2-5-4 2-6-4 2-7-4 2-8-4 2-9-4 2-10-4 2-11-4 2-12-4 2-13-4 2-14-4 2-15-4 3-1-4 4-1-4 4-2-4 5-1-4",1-1-3,,,,,,,,,,"B1.a B1.b",,,,,,,,,,1617,,,19,,,,,,,,"4.5.3 4.5.3.1 4.6 4.6.2 4.6.2.1 4.7 4.8.2 4.8.2.1 4.8.2.2 5.1.2",,,"5.1.14.C.01 5.1.21.C.01 5.1.21.C.02",,,,,3.2.2,,,,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-BC-4 R-BC-5 R-EX-2 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-3 R-SA-1 R-SA-2",R-AC-1,,,,,,,,,,R-BC-4,R-BC-5,,R-EX-2,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,R-IR-3,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Assigned Cybersecurity & Data Protection Responsibilities ,GOV-04,"Mechanisms exist to assign one or more qualified individuals with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data protection program. ","- NIST NICE Framework - Chief Information Security Officer (CISO)","E-HRS-01 E-HRS-05 E-HRS-06 E-HRS-07 E-HRS-08 E-HRS-09 E-HRS-10 E-HRS-13 E-HRS-15","Does the organization assign one or more qualified individuals with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data protection program? ",10,Identify,X,X,X,"There is no evidence of a capability to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. ","SP-CMM1 is N/A, since a structured process is required to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. ","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assign a qualified individual with the mission and resources to centrally-manage, coordinate, develop, implement and maintain an enterprise-wide cybersecurity & data privacy program. ","CC1.1 CC1.3",CC5.3-POF2,"4.1 4.1.1 4.1.2 4.1.3 4.1.4 4.1.5 4.1.6",,,,,APO01.05,"Principle 1 Principle 3","GRC-06 STA-04",,,8.2.7,,"RQ-05-03 RQ-06-04","5.1 5.3",5.3,"5.1(f) 5.1(h) 5.3 5.3(a) 5.3(b)",,5.2,6.1.1,,,,,,,,Sec 4(C)(1),"GOVERN 2.3 GOVERN 5.0","ID.IM-P2 GV.PO-P3 CM.PO-P2",,P-1,,"PL-9 PM-2 PM-6",,,,"PL-9 PM-2 PM-6 PM-29",PL-9,,,,"PM-2 PM-6 PM-29",,,,,,"PL-9 PM-2 PM-6 PM-29",,,"PL-9 PM-2 PM-6 PM-29","PL-9 PM-2 PM-6",,,,,,,"PO.2 PO.2.1 PO.2.2 PO.2.3",ID.AM-6,GV.RR-01,,"12.5 12.5.1 12.5.2 12.5.3 12.5.4 12.5.5","1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.1.4 A3.1.1 A3.1.3",,"12.1.3 12.1.4",12.1.3,,12.1.3,,"1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.1.4 A3.1.1 A3.1.3","1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.1.4 A3.1.1 A3.1.3",12.1.3,C.7,,1.2.2,,,,"ASSET-5.D.MIL3 THREAT-3.D.MIL3 RISK-1.E.MIL2 RISK-1.F.MIL2 RISK-5.D.MIL3 ACCESS-4.D.MIL3 SITUATION-4.D.MIL3 RESPONSE-5.D.MIL3 THIRD-PARTIES-3.D.MIL3 WORKFORCE-4.D.MIL3 ARCHITECTURE-5.D.MIL3 PROGRAM-3.D.MIL3","EF:SG2.SP2 EF:SG4.SP2 GG2.GP1 MA:SG1.SP1 MON:SG1.SP1 MON:SG1.SP3","4.1 4.2",,,,,,,,"PM-2 PM-6",,,,,,,,,,,,,,,,,,,"D1.R.St.B.1 D1.TC.Cu.B.1",,,"314.4(a) 314.4(a)(1) 314.4(a)(2) 314.4(a)(3)",164.308(a)(2),"5.S.B 10.S.A","5.M.B 8.M.A","5.M.B 8.M.A 10.M.A","1.5 PM-2 PM-29",,"CIP-003-6 R3 & R4","8-101 8-311",,,,"17 CFR 229.106(B)(1)(i) 17 CFR 229.106(B)(1)(ii) 17 CFR 229.106(B)(1)(iii) 17 CFR 229.106(B)(2) 17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii) FORM 8-K ITEM 1.05(a) ",,,,,,,,,,,,,,,17.03(2)(a),,500.04,Sec 4(2)(b)(ii)(A)(1),622(2)(d)(A)(i),38-99-20(C)(1),,Sec 9,"PM-2 PM-6",,,Sec 11.175(d),,§ 2447(b)(1),"3.3.1(11) 3.3.1(12) 3.7.5(91)","Art 5.2 Art 5.2(a) Art 5.2(b) Art 5.2(c) Art 5.2(d) Art 5.2(e) Art 5.2(f) Art 5.2(g) Art 5.2(h) Art 5.2(i)(i) Art 5.2(i)(ii) Art 5.2(i)(iii) Art 5.3",,,,,,"Sec 14 Sec 15",Art 16,,,,,,"4.4 4.5 4.6",OIS-03,,,,,,,,,,,,,,,,,,3.1.4,"1-2-2 1-4-1 1-4-2 1-5-2","1-2 1-2-1-2",,,,,,,,,,"A1.b A1.c",,,,Article 5(2),,,,,,"0714 0717 0718 0735",,"21 24","14 19","Article 45 Article 46",,Article 52,,,,,"4.3.1 4.3.1.1 4.4.1.2 6.1.1.13.PB 6.1.3.13.PB",,1.8,"3.1.8.C.01 3.1.8.C.02 3.1.8.C.03 3.1.9.C.01 3.2.8.C.01 3.2.8.C.02 3.2.8.C.03 3.2.8.C.04 3.2.8.C.05 3.2.9.C.01 3.2.10.C.01 3.2.10.C.02 3.2.10.C.03 3.2.10.C.04 3.2.11.C.01 3.2.11.C.02 3.2.11.C.03 3.2.12.C.01 3.2.12.C.02 3.2.12.C.03 3.2.13.C.01 3.2.13.C.02 3.2.14.C.01 3.2.15.C.01 3.2.16.C.01 3.2.17.C.01 3.2.18.C.01 3.2.19.C.01",,,,,"3.1.7(a) 3.1.7(b) 3.1.7(c) 3.1.7(d) 3.1.7(e) 3.1.7(f) 3.1.7(g) 3.1.8(a) 3.1.8(b) 3.1.8(c) 3.1.8(d) 3.1.8(e)",,,,,,5.2,,"1.1 1.2 6.2",1.1,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A NAIC",,x,"R-AC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,,,,,,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Stakeholder Accountability Structure,GOV-04.1,"Mechanisms exist to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.",- Documented roles and responsibilities,E-HRS-15,"Does the organization enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks?",8,Identify,X,X,X,"There is no evidence of a capability to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.","SP-CMM1 is N/A, since a structured process is required to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.","SP-CMM2 is N/A, since a well-defined process is required to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce an accountability structure so that appropriate teams and individuals are empowered, responsible and trained for mapping, measuring and managing data and technology-related risks.",,"CC1.2-POF1 CC1.3-POF1 CC1.3-POF2 CC1.3-POF3 CC1.3-POF4 CC1.3-POF5 CC1.5-POF1 CC5.3-POF2",,,,,,,,,,,,,,,,,,,,,,,,,,,,"GOVERN 2.0 MANAGE 2.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.OC-02 GV.RM-05 GV.RR-02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.1(11) 3.7.5(91)",,,,,,,,,,,,,,"4.5 4.6 4.10",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A1.b A1.c B1.b",,,,,,,,,,,,21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-6 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,,,MT-6,,,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Authoritative Chain of Command,GOV-04.2,Mechanisms exist to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.,- Organization chart,E-HRS-15,Does the organization establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks?,7,Identify,X,X,X,There is no evidence of a capability to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.,"SP-CMM1 is N/A, since a structured process is required to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.","SP-CMM2 is N/A, since a well-defined process is required to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an authoritative chain of command with clear lines of communication to remove ambiguity from individuals and teams related to managing data and technology-related risks.",,"CC1.2-POF1 CC1.3-POF1 CC1.3-POF2 CC1.3-POF3 CC1.3-POF4 CC1.3-POF5 CC1.5-POF1",,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.RM-05 GV.RR-02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17 CFR 229.106(C)(1) 17 CFR 229.106(C)(2) 17 CFR 229.106(C)(1)(i) 17 CFR 229.106(C)(1)(ii) 17 CFR 229.106(C)(1)(iii)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.7.5(91),,,,,,,,,,,,,,"4.5 4.6 4.10",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A1.b A1.c",,,,,,,,,,,,21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-6 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,,,MT-6,,,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Measures of Performance ,GOV-05,"Mechanisms exist to develop, report and monitor cybersecurity & data privacy program measures of performance.","- Metrics - Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud, Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.) - Enterprise Risk Management (ERM) solution",E-GOV-13,"Does the organization develop, report and monitor cybersecurity & data privacy program measures of performance?",6,Protect,X,X,,"There is no evidence of a capability to develop, report and monitor cybersecurity & data privacy program measures of performance.","Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • Simple metrics exist to provide operational oversight of a limited scope of cybersecurity & data privacy controls.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Metrics are developed that provide management oversight to ensure processes continue to operate as designed and within define parameters. • Quarterly Business Review (QBR), or similar status reporting, exists to provide recurring reports on the state of the cybersecurity & data privacy program to the organization's Board of Directors. • Comprehensive metrics exist to provide oversight of organization-wide cybersecurity & data privacy controls.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","CC1.2 CC1.5 CC2.2 CC4.1",CC1.5-POF2,"4.3 7.5 8.3 8.4",,,,,"EDM01.03 EDM05.01 EDM05.03 APO02.02 MEA01.04","Principle 2 Principle 5 Principle 14 Principle 16 Principle 19 Principle 20","AIS-03 SEF-05 TVM-09 TVM-10",,"SO11 S12 S13 S14 S15",,,RQ-05-08,9.1,9.1,"9.1 9.1(a) 9.1(b) 9.1(c) 9.1(d) 9.1(e) 9.1(f)",,,,,,,5.6,,,,Sec 4(E)(1),"GOVERN 1.5 MAP 5.2 MEASURE 1.0 MEASURE 1.1 MEASURE 1.2 MEASURE 4.0 MEASURE 4.3","GV.MT-P4 PR.PO-P5 PR.PO-P6",,M-5,,PM-6,,,,PM-6,,,,,PM-6,,,,,"3.3.7 3.3.8",PM-6,,,PM-6,PM-6,,,3.12.3,,,,,PR.IP-8,"GV.RM-07 GV.OV-03",,,,,,,,,,,,,A.4.2,,,,,,"ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-1.E.MIL2 RISK-5.F.MIL3 ACCESS-4.F.MIL3 SITUATION-4.F.MIL3 RESPONSE-5.F.MIL3 THIRD-PARTIES-3.F.MIL3 WORKFORCE-4.F.MIL3 ARCHITECTURE-5.F.MIL3 PROGRAM-3.F.MIL3","EF:SG4.SP2 EF:SG4.SP3 GG2.GP8 GG3.GP2 HRM:SG3.SP2 MA:SG1.SP1 MA:SG1.SP3 MA:SG1.SP4 MA:SG2.SP1 MA:SG2.SP2 MA:SG2.SP3 MON:SG1.SP1 MON:SG1.SP3",,,,,,,,,PM-6,,,,,,,,,,,,,,,,,,,"D2.IS.Is.B.1 D2.IS.Is.E.2",,,,,10.S.A,,10.M.A,,,,8-311,,,,,Sec 404 ,5.7,,,,,,,"7102(a)(1)(A) 7102(a)(1)(B) 7102(a)(1)(C) 7102(a)(1)(D) 7102(a)(1)(E) 7102(a)(1)(F) 7102(a)(2) 7102(b)",,,,,,17.03(2)(j),,,,"622(2)(d)(A)(vi) 622(2)(d)(B)(iii)",38-99-20(E)(1),,"Sec 10 Sec 11",PM-6,,,,,,,Art 13.4,,,Article 21.2(f),Art 3,,,,,,,,,,COM-04,,,,,,,,,,,,,,,,,,,,,,,,,7.6.2 [OP.MON.2],,,,,,,,,,,,,,,0724,,,,,,,,,,,"4.6 4.6.1 4.6.2.1",,,,,,,,"4.5.3 7.8.3",,,,,,5.7,,6.9,"2.8 2.8.1 2.8.2",,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A NAIC",,,"R-AC-1 R-GV-1 R-GV-2 R-GV-6 R-GV-7 R-SA-1 R-SA-2",R-AC-1,,,,,,,,,,,,,,,,,,,R-GV-1,R-GV-2,,,,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Key Performance Indicators (KPIs),GOV-05.1,"Mechanisms exist to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program.",- Key Performance Indicators (KPIs),,"Does the organization develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program?",6,Protect,,X,,"There is no evidence of a capability to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program.","SP-CMM1 is N/A, since a structured process is required to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program.","SP-CMM2 is N/A, since a well-defined process is required to develop, report and monitor Key Performance Indicators (KPIs) to assist organizational management in performance monitoring and trend analysis of the cybersecurity & data privacy program.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","CC1.2 CC1.5 CC2.2 CC4.1",,,,,,,"APO02.02 MEA01.04","Principle 2 Principle 5 Principle 14 Principle 16 ",,,,,,,,,,,,,,,,5.6,,,,,"MEASURE 4.1 MEASURE 4.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A.4,,,,,,,"GG3.GP2 HRM:SG3.SP2 HRM:SG3.SP3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-GV-1 R-GV-2 R-GV-6 R-GV-7 R-SA-1 R-SA-2",R-AC-1,,,,,,,,,,,,,,,,,,,R-GV-1,R-GV-2,,,,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Key Risk Indicators (KRIs),GOV-05.2,"Mechanisms exist to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program.",- Key Risk Indicators (KRIs),,"Does the organization develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program?",6,Protect,,X,,"There is no evidence of a capability to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program.","SP-CMM1 is N/A, since a structured process is required to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program.","SP-CMM2 is N/A, since a well-defined process is required to develop, report and monitor Key Risk Indicators (KRIs) to assist senior management in performance monitoring and trend analysis of the cybersecurity & data privacy program.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","CC1.2 CC1.5 CC2.2 CC4.1",,,,,,,"APO02.02 MEA01.04","Principle 2 Principle 5 Principle 14 Principle 16",,,,,,,,,,,,,,,,5.6,,,,,"MEASURE 4.1 MEASURE 4.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A.4,,,,,,,HRM:SG3.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-GV-1 R-GV-2 R-GV-6 R-GV-7 R-SA-1 R-SA-2",R-AC-1,,,,,,,,,,,,,,,,,,,R-GV-1,R-GV-2,,,,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Contacts With Authorities ,GOV-06,Mechanisms exist to identify and document appropriate contacts with relevant law enforcement and regulatory bodies.,"- Threat intelligence personnel - Integrated Security Incident Response Team (ISIRT)",,Does the organization identify and document appropriate contacts with relevant law enforcement and regulatory bodies?,5,Identify,,X,,There is no evidence of a capability to identify and document appropriate contacts with relevant law enforcement and regulatory bodies.,"Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends. • Cybersecurity personnel identify and maintain contact information for local and national law enforcement (e.g., FBI field office) in case of cybersecurity incidents that require law enforcement involvement.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • Incident response personnel identify and maintain contact information for local and national law enforcement (e.g., FBI field office) in case of cybersecurity incidents that require law enforcement involvement. • Contact information is verified and updated on at least an annual basis.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Incident response personnel identify and maintain contact information for local and national law enforcement (e.g., FBI field office) in case of cybersecurity incidents that require law enforcement involvement. • Contact information is verified and updated on at least an annual basis.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC2.3,,,,,,,,Principle 15,,,,,,,,,,6.1.3,5.5,6.1.3,,6.3.1.3,,,,,,Sec 4(D)(4),,,,,,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,,,IR-6,IR-6,IR-6,,,,,,,,,,,,,,,GV.OC-02,,,,,,,,,,,,,C.6,,,,,,,IMC:SG2.SP1,,,,,,,,,IR-6,,"252.204-7019(c)(1) 252.204-7019(c)(2)",,,,,,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,,,,,,,,"8.M.A 8.M.C","8.M.A 8.M.C 7.L.A 8.L.B","1.8.3 IR-6",,,"1-303 4-218",,,,FORM 8-K ITEM 1.05(a),,,,,,"III.F.3 VI.A VI.B VI.B.1 VI.B.2 VI.C VI.D VI.E.1 VI.E.2 VI.F ",,,,,,,,,,,,,,38-99-20(D)(4),Sec. 521.053,"Sec 5 Sec 11",IR-6,IR-6,IR-6,,,,3.7.5(91),,,"Art 31 Art 36.1 Art 36.2 Art 36.3 Art 37.7 Art 40.1 Art 41.1 Art 42.2 Art 50",,,,,,,,,,,,OIS-05,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 31 Article 36(1) Article 36(2) Article 36(3)(a) Article 36(3)(b) Article 36(3)(c) Article 36(3)(d) Article 36(3)(e) Article 36(3)(f)",,,,,,,,"33 42 51 59(a) 59(b)","35 35(a) 35(b) 36",,,,,,,,6.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,,,,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Cybersecurity & Data Protection Governance,Contacts With Groups & Associations ,GOV-07,"Mechanisms exist to establish contact with selected groups and associations within the cybersecurity & data privacy communities to: ▪ Facilitate ongoing cybersecurity & data privacy education and training for organizational personnel; ▪ Maintain currency with recommended cybersecurity & data privacy practices, techniques and technologies; and ▪ Share current cybersecurity and/or data privacy-related information including threats, vulnerabilities and incidents. ","- SANS - CISO Executive Network - ISACA chapters - IAPP chapters - ISAA chapters",E-THR-02,"Does the organization establish contact with selected groups and associations within the cybersecurity & data privacy communities to: ▪ Facilitate ongoing cybersecurity & data privacy education and training for organizational personnel; ▪ Maintain currency with recommended cybersecurity & data privacy practices, techniques and technologies; and ▪ Share current cybersecurity and/or data privacy-related information including threats, vulnerabilities and incidents? ",7,Identify,X,X,,"There is no evidence of a capability to establish contact with selected groups and associations within the cybersecurity & data privacy communities to: ▪ Facilitate ongoing cybersecurity & data privacy education and training for organizational personnel; ▪ Maintain currency with recommended cybersecurity & data privacy practices, techniques and technologies; and ▪ Share current security-related information including threats, vulnerabilities and incidents. ","Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends. • Cybersecurity and data privacy personnel identify and maintain contact information for local, regional and national cybersecurity / data privacy groups and associations.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • Cybersecurity and data privacy personnel identify and maintain contact information for local, regional and national cybersecurity / data privacy groups and associations. • Cybersecurity and data privacy personnel in supervisory positions subscribe to news feeds from groups and associations to facilitate ongoing education and training.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Cybersecurity & Privacy Governance (GOV) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,GRC-08,,,,,,,,,6.1.4,5.6,6.1.4,,6.3.1.4,,,,,,Sec 4(D)(4),,,,,,PM-15,,,,PM-15,,,,,PM-15,,,,,,PM-15,,,PM-15,PM-15,,,,,,,,,,,"5.1.2 6.1",6.3.1,6.3.1,6.3.1,,6.3.1,6.3.1,6.3.1,6.3.1,6.3.1,,C.6,,,,,,,"COMM:SG2.SP1 OTA:SG2.SP1",4.5,,,,,,,,PM-15,,,,,,,,,,,,,,,,,,,,,,,,,"8.M.A 8.M.C","8.M.A 8.M.C 9.L.D",,,,8-101,,,,,,,,,,,,,,,,,,,,,,,,38-99-20(D)(4),,"Sec 5 Sec 11",PM-15,,,,,,,"Art 45.1 Art 45.1(a) Art 45.1(b) Art 45.1(c) Art 45.2",,"Art 40.2 Art 41.1 Art 42.2 Art 42.3 Art 43.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.1.4,,,,,,,,,,,,,,,,3.7,,,,,,,,,,,,x,NAIC,,x,"R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",,,,,,,,,,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Defining Business Context & Mission,GOV-08,Mechanisms exist to define the context of its business model and document the mission of the organization.,,E-PRM-01,Does the organization define the context of its business model and document the mission of the organization?,5,Identify,X,,,There is no evidence of a capability to define the context of its business model and document the mission of the organization.,"SP-CMM1 is N/A, since a structured process is required to define the context of its business model and document the mission of the organization.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Cybersecurity and data privacy personnel are encouraged to attend and be involved in local groups and associations. • Cybersecurity and data privacy personnel identify and maintain contact information for local, regional and national cybersecurity / data privacy groups and associations. • Cybersecurity and data privacy personnel in supervisory positions subscribe to news feeds from security/data privacy-related groups and associations to facilitate ongoing education and training. • Designated incident response personnel participate in public/private information sharing organizations (e.g., InfraGard).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the context of its business model and document the mission of the organization.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the context of its business model and document the mission of the organization.",,CC2.2-POF10,,,,,,"EDM05.01 EDM05.02 EDM05.03 APO01.01 APO01.02 APO01.03 APO01.04 APO01.06 APO02.01 APO02.05 APO08.01 APO08.02 APO08.03 APO08.04 APO08.05",,,,,,,,"4.1 4.2 4.2.1 4.2.2","4.1 4.2",,,,,,,,,,,,,,"ID.IM-P5 ID.BE-P1 ID.BE-P2 GV.RM-P3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"ID.BE-1 ID.BE-2",GV.OC-01,,,,,,,,,,,,,B.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"120.13 120.17",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.2.1(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-1-1,,,,,,,,,,,A1.a,,,,,,,,,,,,,,,,,,,,,"4.4.2 4.4.2.1 4.4.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Define Control Objectives,GOV-09,"Mechanisms exist to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system.",,E-GOV-10,"Does the organization establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system?",5,Identify,X,X,,"There is no evidence of a capability to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system.","SP-CMM1 is N/A, since a structured process is required to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel. • IT and/ or cybersecurity personnel develop control objectives to implement and manage the organization’s internal control system. • IT and/ or cybersecurity personnel develop plans to implement security-related objectives.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • A GRC function, or similar function, establishes control objectives as the basis for the selection, implementation and management of the organization’s internal control system. • IT and/ or cybersecurity personnel develop control objectives to implement and manage the organization’s internal control system. • IT and/ or cybersecurity personnel develop plans to implement security-related objectives.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish control objectives as the basis for the selection, implementation and management of the organization’s internal control system.",,"CC2.1-POF1 CC2.2-POF1 CC2.2-POF10","7 7.1",,,,,"APO01.04 DSS06.01",,,,,,,,,5.1,"4.1 4.2 4.2(b) 4.2(c) 5.2(b) 6.2 6.2(a) 6.2(b) 6.2(c) 6.2(d) 6.2(e) 6.2(f) 6.2(g) 6.2(h) 6.2(i) 6.2(j) 6.2(k) 6.2(l)",,4.2,5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.RM-01 GV.RM-03",,,,,,,,,,,,,"B.1.6 ",,,,,,,CTRL:SG1.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"314.3(b)(1) 314.3(b)(2) 314.3(b)(3)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.2.1(5)(c),,,,,,,,,,,,,,,"OIS-01 OIS-02",,,,,,,,,,,,,,,,1-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.1 4.2 4.3 4.4 4.4.2 4.4.2.1 4.4.5.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Data Governance,GOV-10,"Mechanisms exist to facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations.",,,"Does the organization facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations?",9,Protect,,X,,"There is no evidence of a capability to facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations.","Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate data governance to oversee the organization's policies, standards and procedures so that sensitive/regulated data is effectively managed and maintained in accordance with applicable statutory, regulatory and contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PM-23 PM-24",PM-24,,,,PM-23,,,,,,,,,,,,,,,,,,,ID.AM-07,,,A3.2.5,,,,,,,,,,C.1.4,,"9.1 9.3 9.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2.C.5 2.C.5.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 58 Article 58(1) Article 58(2) Article 58(3) Article 58(4)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Purpose Validation,GOV-11,Mechanisms exist to monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose.,,,Does the organization monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose?,5,Identify,,X,X,There is no evidence of a capability to monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose.,"Cybersecurity & Privacy Governance (GOV) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal cybersecurity and/ or data privacy principles are identified for the organization. • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing IT/cybersecurity personnel. • Governance efforts are narrowly-limited to certain compliance requirements. • Formal roles and responsibilities for cybersecurity and/ or data privacy may exist. • Cybersecurity and data privacy governance is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Basic cybersecurity policies and standards are documented [not based on any industry framework] • Basic procedures are established for important tasks, but are ad hoc and not formally documented. • Documentation is made available to internal personnel. • Organizational leadership maintains an informal process to review and respond to observed trends.","Cybersecurity & Privacy Governance (GOV) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity and data privacy governance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cybersecurity & data privacy governance activities. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • A qualified individual is assigned the role and responsibilities to centrally manage, coordinate, develop, implement and maintain a cybersecurity & data privacy program (e.g., cybersecurity director or Chief Information Security Officer (CISO)). • No formal Governance, Risk & Compliance (GRC) team exists. GRC roles are assigned to existing cybersecurity personnel. • Compliance requirements for cybersecurity & data privacy are identified and documented. • Cybersecurity policies and standards exist that are aligned with a leading cybersecurity framework (e.g., SCF, NIST 800-53, ISO 27002 or NIST Cybersecurity Framework). • Controls are assigned to sensitive/regulated assets to comply with specific compliance requirements. • Procedures are established for sensitive/regulated obligations, but are not standardized across the organization. • Documentation is made available to internal personnel.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","Cybersecurity & Privacy Governance (GOV) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics are developed that provide management insight, per a quantitative understanding of process capabilities, to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor mission/business-critical services or functions to ensure those resources are being used consistent with their intended purpose.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PM-32,,,,,PM-32,,,,,,PM-32,,,,PM-32,PM-32,,,,,,,,,,,,,,,,,,,,,C.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Forced Technology Transfer (FTT),GOV-12,"Mechanisms exist to avoid and/or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices.",- Board of Directors (Bod) Ethics Committee,,"Does the organization avoid and/or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices?",10,Protect,X,X,,"There is no evidence of a capability to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices.","SP-CMM1 is N/A, since a structured process is required to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices.","SP-CMM2 is N/A, since a well-defined process is required to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Instances of client or host-nation requests are formally evaluated to determine the risk impact of the request. • Instances that could lead to Forced Technology Transfer (FTT) are escalated to executive leadership for review by the Risk Committee.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to avoid and/ or constrain the forced exfiltration of sensitive / regulated information (e.g., Intellectual Property (IP)) to the host government for purposes of market access or market management practices.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 7 Article 8 Article 9 Article 11 Article 14 Article 15 Article 16 Article 18 Article 19 Article 20 Article 28 Article 31 Article 32 Article 33 Article 36 Article 37 Article 38 Article 48 Article 53",,"Article 38 Article 38(4) Article 40",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,State-Sponsored Espionage,GOV-13,Mechanisms exist to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/or cyberwarfare activities. ,- Board of Directors (Bod) Ethics Committee,,Does the organization constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/or cyberwarfare activities? ,10,Protect,X,X,,There is no evidence of a capability to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. ,"SP-CMM1 is N/A, since a structured process is required to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. ","SP-CMM2 is N/A, since a well-defined process is required to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. ","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Instances of client or host-nation requests are formally evaluated to determine the risk impact of the request. • Instances that could lead to state-sponsored espionage are escalated to executive leadership for review by the Risk Committee.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to constrain the host government's ability to leverage the organization's technology assets for economic or political espionage and/ or cyberwarfare activities. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 7 Article 8 Article 9 Article 11 Article 14 Article 15 Article 16 Article 18 Article 19 Article 20 Article 28 Article 31 Article 32 Article 33 Article 36 Article 37 Article 38 Article 48 Article 53",,"Article 11 Article 12 Article 38(4) Article 40 Article 47(5) Article 60 Article 63(3) Article 63(4) Article 64",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Business As Usual (BAU) Secure Practices,GOV-14,Mechanisms exist to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement.,,,Does the organization incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement?,6,Protect,,X,X,There is no evidence of a capability to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement.,"SP-CMM1 is N/A, since a structured process is required to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement.","SP-CMM2 is N/A, since a well-defined process is required to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability. • Executive leadership team (e.g., corporate-level officers, board of directors, etc.) take an active role in defining and enforcing Business As Usual (BAU) practices across the organization to operationalize cybersecurity & data privacy principles. • A GRC function, or similar function, tracks the efforts to determine if Business As Usual (BAU) reinforcement efforts impact metrics associated with cybersecurity & data privacy controls.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to incorporate cybersecurity & data privacy principles into Business As Usual (BAU) practices through executive leadership involvement.",,"CC1.1-POF1 CC5.3-POF1",,,,,,,,,,,,,"RQ-05-06 RC-05-10",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A3.3 A3.3.3",,,,,,,,,,K.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"B1.b B6.a",,,,,,,,,,,,24,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Operationalizing Cybersecurity & Data Protection Practices,GOV-15,"Mechanisms exist to compel data and/or process owners to operationalize cybersecurity & data privacy practices for each system, application and/or service under their control.",,,"Does the organization compel data and/or process owners to operationalize cybersecurity & data privacy practices for each system, application and/or service under their control?",9,Protect,X,X,,"There is no evidence of a capability to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control.","SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control.","SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to operationalize cybersecurity & data privacy practices for each system, application and/ or service under their control.",CC5.1,"CC2.1-POF1 CC2.1-POF2 CC2.1-POF3 CC2.1-POF4 CC3.1-POF5 CC5.1-POF1 CC5.1-POF2 CC5.1-POF3 CC5.1-POF4 CC5.1-POF5 CC5.1-POF6",,,,,,,,,,,,,,,,,,,,,,,,,,OR-1.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.15.1.a 3.17.1.a",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"15.1 15.2 15.3 15.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.4(22) 3.4.1(30)(a) 3.4.1(30)(b) 3.4.1(30)(c) 3.4.1(30)(d) 3.4.1(30)(e) 3.4.1(30)(f) 3.4.1(30)(g)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,"Article 21.1 Article 21.2(a) Article 21.2(b) Article 21.2(c) Article 21.2(d) Article 21.2(e) Article 21.2(f) Article 21.2(g) Article 21.2(h) Article 21.2(i) Article 21.2(j)",,Principle 2.4.a,,,,,,,,5.1,,,,,,,,,,,,,,,Article 8.3,,,,,,"2-3 2-3-2","Article 50 Article 51",,,,,,,,,"B1.a B1.b B6.a",A5,,,,,,,,,"1633 1634 1635 1636",,29,,,,,,,,,,,,"3.2.10.C.04 3.4.11.C.01",,,,,,,,,,,,,,"3.0 3.1 3.2",,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Select Controls,GOV-15.1,"Mechanisms exist to compel data and/or process owners to select required cybersecurity & data privacy controls for each system, application and/or service under their control.",,,"Does the organization compel data and/or process owners to select required cybersecurity & data privacy controls for each system, application and/or service under their control?",8,Protect,,X,X,"There is no evidence of a capability to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control.","SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control.","SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to select required cybersecurity & data privacy controls for each system, application and/ or service under their control.",CC5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,OR-1.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.15.1.a 3.15.2.a 3.17.1.a",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"252.204-7008(c)(1) 252.204-7012(b)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"15.1 15.2 15.3 15.4",,,,,,,,,"III.B III.C.1 III.C.1.a III.C.1.b III.C.3",,,,,,,,,,,,,,,,,,,,,,,"3.3.4(22) 3.3.4(23) 3.4.1(30)(a) 3.4.1(30)(b) 3.4.1(30)(c) 3.4.1(30)(d) 3.4.1(30)(e) 3.4.1(30)(f) 3.4.1(30)(g)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,"Article 21.1 Article 21.2(a) Article 21.2(b) Article 21.2(c) Article 21.2(d) Article 21.2(e) Article 21.2(f) Article 21.2(g) Article 21.2(h) Article 21.2(i) Article 21.2(j)",,Principle 2.4.a,,,,,,,,5.1,,,,,,,,,,,,,,,"Article 8.3 Article 11.1",,,,,,"2-3 2-3-2","Article 50 Article 51",,,,,,,,,"B1.a B1.b","A5 A6",,,,,,,,,1634,,29,,,,,,,,,,,,3.2.10.C.04,,,,,,,,,,,,,,3.2,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Cybersecurity & Data Protection Governance,Implement Controls,GOV-15.2,"Mechanisms exist to compel data and/or process owners to implement required cybersecurity & data privacy controls for each system, application and/or service under their control.",,,"Does the organization compel data and/or process owners to implement required cybersecurity & data privacy controls for each system, application and/or service under their control?",9,Protect,,X,X,"There is no evidence of a capability to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control.","SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control.","SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to implement required cybersecurity & data privacy controls for each system, application and/ or service under their control.",CC5.1,,,,,,,,,,,,,,RQ-09-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.5.a 3.1.5.b 3.1.5.c 3.1.5.d 3.1.6.a 3.1.6.b 3.4.1.a 3.4.1.b 3.4.2.a 3.4.2.b 3.4.6.a 3.17.1.a",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"252.204-7008(c)(1) 252.204-7012(b)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"15.1 15.2 15.3 15.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.1(30)(a) 3.4.1(30)(b) 3.4.1(30)(c) 3.4.1(30)(d) 3.4.1(30)(e) 3.4.1(30)(f) 3.4.1(30)(g)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,"Article 21.1 Article 21.2(a) Article 21.2(b) Article 21.2(c) Article 21.2(d) Article 21.2(e) Article 21.2(f) Article 21.2(g) Article 21.2(h) Article 21.2(i) Article 21.2(j)",,Principle 2.4.a,,,,,,,,5.2,,,,,,,,,,,,,,,"Article 8.3 Article 11.3 Article 11.5 Article 11.6",,,,,,"2-3 2-3-2","Article 50 Article 51",,,,,,,,,B1.b,"A5 A6 B4",,,,,,,,,1635,,,,,,,,,,,,,,3.4.11.C.01,,,,,,,,,,,,,,3.2,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Cybersecurity & Data Protection Governance,Assess Controls,GOV-15.3,"Mechanisms exist to compel data and/or process owners to assess if required cybersecurity & data privacy controls for each system, application and/or service under their control are implemented correctly and are operating as intended.",,,"Does the organization compel data and/or process owners to assess if required cybersecurity & data privacy controls for each system, application and/or service under their control are implemented correctly and are operating as intended?",8,Protect,,X,X,"There is no evidence of a capability to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended.","SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended.","SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to assess if required cybersecurity & data privacy controls for each system, application and/ or service under their control are implemented correctly and are operating as intended.",,CC4.2-POF1,,,,,,,,,,,,,"RQ-09-11.a RQ-09-11.b RQ-10-10.a RQ-10-10.b RQ-10-10.c RQ-10-10.d RQ-10-11 RQ-10-12 RQ-10-13 RQ-11-01.a RQ-11-01.b RQ-11-01.c RQ-11-01.d RQ-11-02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.12.1 3.12.3 3.12.5.a 3.15.1.b 3.17.1.b",,A.03.12.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.6(41) 3.4.6(42) 3.4.6(43) 3.4.6(43)(a) 3.4.6(43)(b) 3.4.6(44) 3.4.6(45) 3.4.6(46) 3.4.6(47) 3.4.6(48)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,,,Principle 2.4.a,,,,,,,,,,,,,,,,,,,,,,,"Article 8.3 Article 11.1 Article 11.2",,,,,,"2-3 2-3-2","Article 50 Article 51",,,,,,,,,A2.b,"A5 A6 B4",,,,,,,,,1636,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.2,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,"Authorize Systems, Applications & Services",GOV-15.4,"Mechanisms exist to compel data and/or process owners to obtain authorization for the production use of each system, application and/or service under their control.",,,"Does the organization compel data and/or process owners to obtain authorization for the production use of each system, application and/or service under their control?",8,Protect,,X,X,"There is no evidence of a capability to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control.","SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control.","SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to obtain authorization for the production use of each system, application and/ or service under their control.",,,,,,,,,,,,,,,RQ-06-34.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.8.a 3.17.1.a",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,,,Principle 2.4.a,,,,,,,,,,,,,,,,,,,,,,,"Article 8.3 Article 11.1",,,,,,"2-3 2-3-2",,,,,,,,,,A2.b,A5,,,,,,,,,0027,,,,,,,,,,,,,,"23.2.16.C.03 23.2.16.C.04",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cybersecurity & Data Protection Governance,Monitor Controls,GOV-15.5,"Mechanisms exist to compel data and/or process owners to monitor systems, applications and/or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended.",,,"Does the organization compel data and/or process owners to monitor systems, applications and/or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended?",8,Protect,,X,X,"There is no evidence of a capability to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended.","SP-CMM1 is N/A, since a structured process is required to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended.","SP-CMM2 is N/A, since a well-defined process is required to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended.","Cybersecurity & Privacy Governance (GOV) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides scoping guidance to determine control applicability. • Compliance requirements for cybersecurity & data privacy controls are identified, documented and tested for adherence to internal standards or regulatory requirements. • Procedures are established for sensitive/regulated obligations and standardized across the organization. • Controls are standardized across the organization to ensure uniformity and consistent execution. • Internal policies and standards address all statutory, regulatory and contractual obligations for cybersecurity & data privacy. • Defined roles & responsibilities require data/process owners to define, implement and maintain cybersecurity & data privacy controls for each system, application and/ or service of which they have accountability.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data and/ or process owners to monitor systems, applications and/ or services under their control on an ongoing basis for applicable threats and risks, as well as to ensure cybersecurity & data privacy controls are operating as intended.",,,,,,,,,,,,,,,RQ-10-03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.5.a 3.3.5.b 3.3.5.c 3.12.3 3.15.1.b 3.17.1.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,,,Principle 2.4.a,,,,,,,,,,,,,,,,,,,,,,,"Article 8.3 Article 11.7 Article 11.8",,,,,,"2-3 2-3-2","Article 50 Article 51",,,,,,,,,,A5,,,,,,,,,1526,,30,,,,,,,,,,,,23.2.18.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Artificial Intelligence (AI) & Autonomous Technologies Governance,AAT-01,"Mechanisms exist to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively.",,,"Does the organization ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively?",10,Identify,X,X,,"There is no evidence of a capability to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively.","SP-CMM1 is N/A, since a structured process is required to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively.","SP-CMM2 is N/A, since a well-defined process is required to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function to determine prioritized and authoritative guidance for Artificial Intelligence and Autonomous Technologies (AAT), within the broader scope of cybersecurity and data protection operations. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization. This CONOPS for AAT may be incorporated as part of a broader operational plan for the cybersecurity & data privacy program. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to facilitate the implementation of secure and compliant practices to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. Compliance requirements for AAT are identified and documented. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including AAT. The steering committee establishes a clear and authoritative accountability structure for AAT operations. • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. • Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure policies, processes, procedures and practices related to the mapping, measuring and managing of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are in place, transparent and implemented effectively.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GOVERN 1.0 GOVERN 4.1 MAP 3.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,MT-16, Artificial & Autonomous Technologies,AI & Autonomous Technologies-Related Legal Requirements Definition,AAT-01.1,"Mechanisms exist to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,"Does the organization identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT)?",8,Identify,X,X,,"There is no evidence of a capability to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM1 is N/A, since a structured process is required to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, understand, document and manage applicable statutory and regulatory requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Trustworthy AI & Autonomous Technologies,AAT-01.2,"Mechanisms exist to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.",,,"Does the organization ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences?",10,Protect,X,X,,"There is no evidence of a capability to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.","SP-CMM1 is N/A, since a structured process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.","SP-CMM2 is N/A, since a well-defined process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Value Sustainment,AAT-01.3,Mechanisms exist to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,1,Identify,X,X,,There is no evidence of a capability to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to sustain the value of deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Situational Awareness of AI & Autonomous Technologies,AAT-02,Mechanisms exist to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party).,,,Does the organization develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party)?,9,Identify,X,X,X,There is no evidence of a capability to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party).,"SP-CMM1 is N/A, since a structured process is required to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party).","SP-CMM2 is N/A, since a well-defined process is required to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop and maintain an inventory of Artificial Intelligence (AI) and Autonomous Technologies (AAT) (internal and third-party).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 1.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Risk Mapping,AAT-02.1,"Mechanisms exist to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements.",,,"Does the organization identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements?",9,Identify,X,X,X,"There is no evidence of a capability to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements.","SP-CMM1 is N/A, since a structured process is required to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements.","SP-CMM2 is N/A, since a well-defined process is required to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify Artificial Intelligence (AI) and Autonomous Technologies (AAT) in use and map those components to potential legal risks, including statutory and regulatory compliance requirements.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 4.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Internal Controls,AAT-02.2,Mechanisms exist to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,9,Identify,X,X,X,There is no evidence of a capability to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document internal cybersecurity & data privacy controls for Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Context Definition,AAT-03,"Mechanisms exist to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including: ▪ Intended purposes; ▪ Potentially beneficial uses; ▪ Context-specific laws and regulations; ▪ Norms and expectations; and ▪ Prospective settings in which the system(s) will be deployed.",,,"Does the organization establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including: ▪ Intended purposes; ▪ Potentially beneficial uses; ▪ Context-specific laws and regulations; ▪ Norms and expectations; and ▪ Prospective settings in which the system(s) will be deployed?",8,Identify,X,X,,"There is no evidence of a capability to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including: ▪ Intended purposes; ▪ Potentially beneficial uses; ▪ Context-specific laws and regulations; ▪ Norms and expectations; and ▪ Prospective settings in which the system(s) will be deployed.","SP-CMM1 is N/A, since a structured process is required to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including: ▪ Intended purposes; ▪ Potentially beneficial uses; ▪ Context-specific laws and regulations; ▪ Norms and expectations; and ▪ Prospective settings in which the system(s) will be deployed.","SP-CMM2 is N/A, since a well-defined process is required to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including: ▪ Intended purposes; ▪ Potentially beneficial uses; ▪ Context-specific laws and regulations; ▪ Norms and expectations; and ▪ Prospective settings in which the system(s) will be deployed.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including: ▪ Intended purposes; ▪ Potentially beneficial uses; ▪ Context-specific laws and regulations; ▪ Norms and expectations; and ▪ Prospective settings in which the system(s) will be deployed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish and document the context surrounding Artificial Intelligence (AI) and Autonomous Technologies (AAT), including: ▪ Intended purposes; ▪ Potentially beneficial uses; ▪ Context-specific laws and regulations; ▪ Norms and expectations; and ▪ Prospective settings in which the system(s) will be deployed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MAP 1.0 MAP 1.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Mission and Goals Definition,AAT-03.1,Mechanisms exist to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,8,Identify,X,X,X,There is no evidence of a capability to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define and document the organization’s mission and defined goals for Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MAP 1.3 MAP 1.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Business Case,AAT-04,"Mechanisms exist to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,"Does the organization benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT)?",8,Identify,X,X,X,"There is no evidence of a capability to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM1 is N/A, since a structured process is required to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to benchmark capabilities, targeted usage, goals and expected benefits and costs of Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 3.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Potential Benefits Analysis,AAT-04.1,Mechanisms exist to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,2,Identify,X,X,,There is no evidence of a capability to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess the potential benefits of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Potential Costs Analysis,AAT-04.2,"Mechanisms exist to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness.",,,"Does the organization assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness?",2,Identify,X,X,,"There is no evidence of a capability to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness.","SP-CMM1 is N/A, since a structured process is required to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness.","SP-CMM2 is N/A, since a well-defined process is required to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess potential costs, including non-monetary costs, resulting from expected or realized Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related errors or system functionality and trustworthiness.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Targeted Application Scope,AAT-04.3,Mechanisms exist to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,8,Identify,X,X,X,There is no evidence of a capability to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to specify and document the targeted application scope of the proposed use and operation of Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Cost / Benefit Mapping,AAT-04.4,"Mechanisms exist to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data.",,,"Does the organization map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data?",2,Identify,X,X,,"There is no evidence of a capability to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data.","SP-CMM1 is N/A, since a structured process is required to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data.","SP-CMM2 is N/A, since a well-defined process is required to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to map risks and benefits for all components of Artificial Intelligence (AI) and Autonomous Technologies (AAT), including third-party software and data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 4.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Training,AAT-05,Mechanisms exist to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,5,Identify,,X,X,There is no evidence of a capability to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure personnel and external stakeholders are provided with position-specific risk management training for Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Fairness & Bias,AAT-06,"Mechanisms exist to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier.",,,"Does the organization prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier?",9,Identify,,X,,"There is no evidence of a capability to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier.","SP-CMM1 is N/A, since a structured process is required to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier.","SP-CMM2 is N/A, since a well-defined process is required to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent Artificial Intelligence (AI) and Autonomous Technologies (AAT) from unfairly identifying, profiling and/ or statistically singling out a segmented population defined by race, religion, gender identity, national origin, religion, disability or any other politically-charged identifier.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 3.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Risk Management Decisions,AAT-07,"Mechanisms exist to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.",,,"Does the organization leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks?",10,Identify,X,X,X,"There is no evidence of a capability to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","SP-CMM1 is N/A, since a structured process is required to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","SP-CMM2 is N/A, since a well-defined process is required to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to leverage decision makers from a diversity of demographics, disciplines, experience, expertise and backgrounds for mapping, measuring and managing Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Impact Characterization,AAT-07.1,"Mechanisms exist to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society.",,,"Does the organization characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society?",8,Identify,X,X,,"There is no evidence of a capability to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society.","SP-CMM1 is N/A, since a structured process is required to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society.","SP-CMM2 is N/A, since a well-defined process is required to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to characterize the impacts of proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT) on individuals, groups, communities, organizations and society.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 5.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Likelihood & Impact Risk Analysis,AAT-07.2,Mechanisms exist to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts.,,,Does the organization define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts?,10,Identify,X,X,X,There is no evidence of a capability to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts.,"SP-CMM1 is N/A, since a structured process is required to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts.","SP-CMM2 is N/A, since a well-defined process is required to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the potential likelihood and impact of each identified risk based on expected use and past uses of Artificial Intelligence (AI) and Autonomous Technologies (AAT) in similar contexts.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Continuous Improvements,AAT-07.3,Mechanisms exist to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT.,,,Does the organization continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT?,8,Identify,X,X,X,There is no evidence of a capability to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT.,"SP-CMM1 is N/A, since a structured process is required to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT.","SP-CMM2 is N/A, since a well-defined process is required to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to continuously improve Artificial Intelligence (AI) and Autonomous Technologies (AAT) capabilities to maximize benefits and minimize negative impacts associated with AAT.",,,,,,,,,,,,,,,RQ-05-08,,,,,,,,,,,,,,,MANAGE 2.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Assigned Responsibilities for AI & Autonomous Technologies,AAT-08,Mechanisms exist to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems.,,,Does the organization define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems?,9,Identify,X,X,X,There is no evidence of a capability to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems.,"SP-CMM1 is N/A, since a structured process is required to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems.","SP-CMM2 is N/A, since a well-defined process is required to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define and differentiate roles and responsibilities for human-AI configurations and oversight of AI systems.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Risk Profiling,AAT-09,"Mechanisms exist to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used.",,,"Does the organization document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used?",9,Identify,,X,,"There is no evidence of a capability to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used.","SP-CMM1 is N/A, since a structured process is required to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used.","SP-CMM2 is N/A, since a well-defined process is required to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document the risks and potential impacts of Artificial Intelligence (AI) and Autonomous Technologies (AAT) designed, developed, deployed, evaluated and used.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,"Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) ",AAT-10,"Mechanisms exist to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing.",,E-IAO-02,"Does the organization implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing?",10,Detect,X,X,X,"There is no evidence of a capability to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing.","SP-CMM1 is N/A, since a structured process is required to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing.","SP-CMM2 is N/A, since a well-defined process is required to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices to enable Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related testing, identification of incidents and information sharing.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GOVERN 4.3 MEASURE 2.7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Trustworthiness Assessment,AAT-10.1,"Mechanisms exist to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes.",,,"Does the organization evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes?",10,Detect,,X,,"There is no evidence of a capability to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes.","SP-CMM1 is N/A, since a structured process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes.","SP-CMM2 is N/A, since a well-defined process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT) for trustworthy behavior and operation including security, anonymization and disaggregation of captured and stored data for approved purposes.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Tools,AAT-10.2,"Mechanisms exist to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices.",,,"Does the organization document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices?",7,Detect,,X,X,"There is no evidence of a capability to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices.","SP-CMM1 is N/A, since a structured process is required to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices.","SP-CMM2 is N/A, since a well-defined process is required to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document test sets, metrics and details about the tools used during Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) practices.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Trustworthiness Demonstration,AAT-10.3,"Mechanisms exist to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs.",,,"Does the organization demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs?",9,Detect,X,X,,"There is no evidence of a capability to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs.","SP-CMM1 is N/A, since a structured process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs.","SP-CMM2 is N/A, since a well-defined process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed is valid, reliable and operate as intended based on approved designs.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Safety Demonstration,AAT-10.4,"Mechanisms exist to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits.",,,"Does the organization demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits?",10,Detect,X,X,,"There is no evidence of a capability to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits.","SP-CMM1 is N/A, since a structured process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits.","SP-CMM2 is N/A, since a well-defined process is required to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to demonstrate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed are safe, residual risk does not exceed the organization's risk tolerance and can fail safely, particularly if made to operate beyond its knowledge limits.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MEASURE 2.3 MEASURE 2.7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Resiliency Assessment,AAT-10.5,Mechanisms exist to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,,,Does the organization evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed?,6,Detect,X,X,,There is no evidence of a capability to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,"SP-CMM1 is N/A, since a structured process is required to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","SP-CMM2 is N/A, since a well-defined process is required to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the security and resilience of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 4.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Transparency & Accountability Assessment,AAT-10.6,Mechanisms exist to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,,,Does the organization examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed?,7,Detect,X,X,,There is no evidence of a capability to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,"SP-CMM1 is N/A, since a structured process is required to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","SP-CMM2 is N/A, since a well-defined process is required to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to examine risks associated with transparency and accountability of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Privacy Assessment,AAT-10.7,Mechanisms exist to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,,,Does the organization examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed?,9,Detect,X,X,,There is no evidence of a capability to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,"SP-CMM1 is N/A, since a structured process is required to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","SP-CMM2 is N/A, since a well-defined process is required to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to examine the data privacy risk of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Fairness & Bias Assessment,AAT-10.8,Mechanisms exist to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,,,Does the organization examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed?,9,Detect,X,X,,There is no evidence of a capability to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.,"SP-CMM1 is N/A, since a structured process is required to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","SP-CMM2 is N/A, since a well-defined process is required to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to examine fairness and bias of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to be deployed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MEASURE 2.5 MEASURE 2.11",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Model Validation,AAT-10.9,Mechanisms exist to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model.,,,Does the organization validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model?,5,Detect,X,X,X,There is no evidence of a capability to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model.,"SP-CMM1 is N/A, since a structured process is required to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model.","SP-CMM2 is N/A, since a well-defined process is required to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate the Artificial Intelligence (AI) and Autonomous Technologies (AAT) model.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Results Evaluation,AAT-10.10,"Mechanisms exist to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,"Does the organization evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT)?",10,Detect,X,X,,"There is no evidence of a capability to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM1 is N/A, since a structured process is required to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the results of Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV) to determine the viability of the proposed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,,,,,,,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Effectiveness,AAT-10.11,"Mechanisms exist to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV).",,,"Does the organization evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV)?",5,Detect,,X,,"There is no evidence of a capability to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV).","SP-CMM1 is N/A, since a structured process is required to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV).","SP-CMM2 is N/A, since a well-defined process is required to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the effectiveness of the processes utilized to perform Artificial Intelligence Test, Evaluation, Validation & Verification (AI TEVV).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Comparable Deployment Settings,AAT-10.12,Mechanisms exist to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings.,,,Does the organization evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings?,5,Identify,,X,X,There is no evidence of a capability to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings.,"SP-CMM1 is N/A, since a structured process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings.","SP-CMM2 is N/A, since a well-defined process is required to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related performance or the assurance criteria demonstrated for conditions similar to deployment settings.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI TEVV Post-Deployment Monitoring,AAT-10.13,Mechanisms exist to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,9,Detect,X,X,X,There is no evidence of a capability to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively and continuously monitor deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MEASURE 2.6 MEASURE 2.11",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Updating AI & Autonomous Technologies,AAT-10.14,Mechanisms exist to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,9,Identify,,X,X,There is no evidence of a capability to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to integrate continual improvements for deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,,,,,,,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Robust Stakeholder Engagement for AI & Autonomous Technologies,AAT-11,"Mechanisms exist to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts.",,,"Does the organization compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts?",9,Protect,X,X,X,"There is no evidence of a capability to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts.","SP-CMM1 is N/A, since a structured process is required to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts.","SP-CMM2 is N/A, since a well-defined process is required to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel ongoing engagement with relevant Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholders to encourage feedback about positive, negative and unanticipated impacts.",,CC1.4-POF3,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GOVERN 5.0 MAP 5.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Stakeholder Feedback Integration,AAT-11.1,"Mechanisms exist to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,"Does the organization regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)?",9,Protect,,X,X,"There is no evidence of a capability to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM1 is N/A, since a structured process is required to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to regularly collect, consider, prioritize and integrate risk-related feedback from those external to the team that developed or deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GOVERN 5.1 GOVERN 5.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Ongoing Assessments,AAT-11.2,Mechanisms exist to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT.,,,Does the organization conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT?,9,Protect,,X,,There is no evidence of a capability to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT.,"SP-CMM1 is N/A, since a structured process is required to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT.","SP-CMM2 is N/A, since a well-defined process is required to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct regular assessments of Artificial Intelligence (AI) and Autonomous Technologies (AAT) with independent assessors and stakeholders not involved in the development of the AAT.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies End User Feedback,AAT-11.3,Mechanisms exist to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics.,,,Does the organization collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics?,7,Protect,,X,X,There is no evidence of a capability to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics.,"SP-CMM1 is N/A, since a structured process is required to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics.","SP-CMM2 is N/A, since a well-defined process is required to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to collect and integrate feedback from end users and impacted communities into Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related system evaluation metrics.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Incident & Error Reporting,AAT-11.4,"Mechanisms exist to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/or errors to relevant stakeholders, including affected communities. ",,,"Does the organization communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/or errors to relevant stakeholders, including affected communities? ",9,Protect,,X,X,"There is no evidence of a capability to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. ","SP-CMM1 is N/A, since a structured process is required to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. ","SP-CMM2 is N/A, since a well-defined process is required to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. ","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. • Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to communicate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related incidents and/ or errors to relevant stakeholders, including affected communities. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Intellectual Property Infringement Protections,AAT-12,Mechanisms exist to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement.,,,Does the organization identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement?,10,Protect,X,,,There is no evidence of a capability to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement.,"SP-CMM1 is N/A, since a structured process is required to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement.","SP-CMM2 is N/A, since a well-defined process is required to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. • Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify data sources for Artificial Intelligence (AI) and Autonomous Technologies (AAT) to prevent third-party Intellectual Property (IP) rights infringement.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Stakeholder Diversity,AAT-13,"Mechanisms exist to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise.",,,"Does the organization ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise?",8,Identify,,X,,"There is no evidence of a capability to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise.","SP-CMM1 is N/A, since a structured process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise.","SP-CMM2 is N/A, since a well-defined process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT) stakeholder competencies, skills and capacities incorporate demographic diversity, broad domain and user experience expertise.",,CC1.4-POF3,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Stakeholder Competencies,AAT-13.1,"Mechanisms exist to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented.",,,"Does the organization ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented?",9,Identify,X,X,,"There is no evidence of a capability to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented.","SP-CMM1 is N/A, since a structured process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented.","SP-CMM2 is N/A, since a well-defined process is required to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related operator and practitioner proficiency requirements for Artificial Intelligence (AI) and Autonomous Technologies (AAT) are defined, assessed and documented.",,"CC1.4-POF2 CC5.3-POF5",,,,,,,,,,,,,RQ-05-07,,,,,,,,,,,,,,,MAP 3.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Requirements Definitions,AAT-14,Mechanisms exist to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,8,Identify,X,X,X,There is no evidence of a capability to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to take socio-technical implications into account to address risks associated with Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 1.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Implementation Tasks Definition,AAT-14.1,"Mechanisms exist to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders).",,,"Does the organization define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders)?",8,Protect,,X,X,"There is no evidence of a capability to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders).","SP-CMM1 is N/A, since a structured process is required to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders).","SP-CMM2 is N/A, since a well-defined process is required to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the tasks that Artificial Intelligence (AI) and Autonomous Technologies (AAT) will support (e.g., classifiers, generative models, recommenders).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Knowledge Limits,AAT-14.2,Mechanisms exist to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making.,,,Does the organization identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making?,10,Identify,X,X,X,There is no evidence of a capability to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making.,"SP-CMM1 is N/A, since a structured process is required to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making.","SP-CMM2 is N/A, since a well-defined process is required to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document knowledge limits of Artificial Intelligence (AI) and Autonomous Technologies (AAT) to provide sufficient information to assist relevant stakeholder decision making.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Viability Decisions,AAT-15,Mechanisms exist to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed.,,,Does the organization define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed?,10,Protect,X,X,X,There is no evidence of a capability to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed.,"SP-CMM1 is N/A, since a structured process is required to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed.","SP-CMM2 is N/A, since a well-defined process is required to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the criteria as to whether Artificial Intelligence (AI) and Autonomous Technologies (AAT) achieved intended purposes and stated objectives to determine whether its development or deployment should proceed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Negative Residual Risks,AAT-15.1,"Mechanisms exist to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,"Does the organization identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT)?",9,Protect,X,X,,"There is no evidence of a capability to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM1 is N/A, since a structured process is required to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document negative, residual risks (defined as the sum of all unmitigated risks) to both downstream acquirers and end users of Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 1.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,"Responsibility To Supersede, Deactivate and/or Disengage AI & Autonomous Technologies",AAT-15.2,"Mechanisms exist to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use.",,,"Does the organization define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use?",10,Protect,X,X,X,"There is no evidence of a capability to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use.","SP-CMM1 is N/A, since a structured process is required to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use.","SP-CMM2 is N/A, since a well-defined process is required to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences. • Robust incident response and business continuity plans exist to respond to AAT-related emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define the criteria and responsible party(ies) for superseding, disengaging or deactivating Artificial Intelligence (AI) and Autonomous Technologies (AAT) that demonstrate performance or outcomes inconsistent with intended use.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Production Monitoring,AAT-16,Mechanisms exist to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,9,Detect,,X,X,There is no evidence of a capability to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor the functionality and behavior of the deployed Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Measurement Approaches,AAT-16.1,"Mechanisms exist to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users.",,,"Does the organization measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users?",8,Detect,,X,,"There is no evidence of a capability to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users.","SP-CMM1 is N/A, since a structured process is required to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users.","SP-CMM2 is N/A, since a well-defined process is required to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to measure Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks to deployment context(s) through review and consultation with industry experts, domain specialists and end users.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 4.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Measuring AI & Autonomous Technologies Effectiveness,AAT-16.2,"Mechanisms exist to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities.",,,"Does the organization regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities?",5,Detect,,X,,"There is no evidence of a capability to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities.","SP-CMM1 is N/A, since a structured process is required to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities.","SP-CMM2 is N/A, since a well-defined process is required to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to regularly assess the effectiveness of existing controls, including reports of errors and potential impacts on affected communities.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MEASURE 1.0 MEASURE 1.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Unmeasurable AI & Autonomous Technologies Risks,AAT-16.3,Mechanisms exist to identify and document unmeasurable risks or trustworthiness characteristics.,,,Does the organization identify and document unmeasurable risks or trustworthiness characteristics?,7,Detect,X,X,,There is no evidence of a capability to identify and document unmeasurable risks or trustworthiness characteristics.,"SP-CMM1 is N/A, since a structured process is required to identify and document unmeasurable risks or trustworthiness characteristics.","SP-CMM2 is N/A, since a well-defined process is required to identify and document unmeasurable risks or trustworthiness characteristics.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document unmeasurable risks or trustworthiness characteristics.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document unmeasurable risks or trustworthiness characteristics.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Efficacy of AI & Autonomous Technologies Measurement,AAT-16.4,Mechanisms exist to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements.,,,Does the organization gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements?,5,Detect,X,X,,There is no evidence of a capability to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements.,"SP-CMM1 is N/A, since a structured process is required to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements.","SP-CMM2 is N/A, since a well-defined process is required to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to gather and assess feedback about the efficacy of Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related measurements.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 4.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Domain Expert Reviews,AAT-16.5,"Mechanisms exist to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended.",,,"Does the organization utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended?",8,Protect,,X,,"There is no evidence of a capability to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended.","SP-CMM1 is N/A, since a structured process is required to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended.","SP-CMM2 is N/A, since a well-defined process is required to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize input from domain experts and relevant stakeholders to validate whether the Artificial Intelligence (AI) and Autonomous Technologies (AAT) perform consistently, as intended.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Performance Changes,AAT-16.6,Mechanisms exist to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues.,,,Does the organization evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues?,10,Protect,X,X,X,There is no evidence of a capability to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues.,"SP-CMM1 is N/A, since a structured process is required to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues.","SP-CMM2 is N/A, since a well-defined process is required to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate performance improvements or declines with domain experts and relevant stakeholders to define context-relevant risks and trustworthiness issues.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Pre-Trained AI & Autonomous Technologies Models,AAT-16.7,"Mechanisms exist to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities.",,,"Does the organization validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities?",8,Protect,,X,,"There is no evidence of a capability to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities.","SP-CMM1 is N/A, since a structured process is required to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities.","SP-CMM2 is N/A, since a well-defined process is required to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate the information sources and quality of pre-trained models used in Artificial Intelligence (AI) and Autonomous Technologies (AAT training, maintenance and improvement-related activities.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Harm Prevention,AAT-17,"Mechanisms exist to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.",,,"Does the organization proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks?",10,Protect,X,X,X,"There is no evidence of a capability to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","SP-CMM1 is N/A, since a structured process is required to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","SP-CMM2 is N/A, since a well-defined process is required to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively prevent harm by regularly identifying and tracking existing, unanticipated and emergent Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Human Subject Protections,AAT-17.1,Mechanisms exist to protect human subjects from harm.,,,Does the organization protect human subjects from harm?,10,Protect,X,X,X,There is no evidence of a capability to protect human subjects from harm.,"SP-CMM1 is N/A, since a structured process is required to protect human subjects from harm.","SP-CMM2 is N/A, since a well-defined process is required to protect human subjects from harm.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect human subjects from harm.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect human subjects from harm.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Environmental Impact & Sustainability,AAT-17.2,Mechanisms exist to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,,Does the organization assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,9,Protect,X,X,,There is no evidence of a capability to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess and document the environmental impacts and sustainability of Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 2.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,Previously Unknown AI & Autonomous Technologies Threats & Risks,AAT-17.3,Mechanisms exist to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified.,,,Does the organization respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified?,9,Protect,X,X,X,There is no evidence of a capability to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified.,"SP-CMM1 is N/A, since a structured process is required to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified.","SP-CMM2 is N/A, since a well-defined process is required to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to respond to and recover from a previously unknown Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risk when it is identified.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Risk Tracking Approaches,AAT-18,Mechanisms exist to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available.,,,Does the organization track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available?,9,Protect,X,X,X,There is no evidence of a capability to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available.,"SP-CMM1 is N/A, since a structured process is required to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available.","SP-CMM2 is N/A, since a well-defined process is required to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to track Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks are difficult to assess using currently available measurement techniques or where metrics are not yet available.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MEASURE 3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Artificial & Autonomous Technologies,AI & Autonomous Technologies Risk Response,AAT-18.1,"Mechanisms exist to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output.",,,"Does the organization prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output?",10,Protect,X,X,X,"There is no evidence of a capability to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output.","SP-CMM1 is N/A, since a structured process is required to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output.","SP-CMM2 is N/A, since a well-defined process is required to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output.","Artificial Intelligence and Autonomous Technology (AAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Legal reviews are conducted to minimize the inadvertent infringement of third-party Intellectual Property (IP) rights through the use of AAT products and/ or services. • AAT-specific compliance requirements for cybersecurity & data privacy are identified and documented. • Governance function for AAT is formally assigned with defined roles and associated responsibilities. • A Program Management Office (PMO), or similar function, tracks and reports on activities related to the mapping, measuring and managing of AAT. • Secure engineering principles are identified and implemented to ensure AAT are designed to be reliable, safe, fair, secure, resilient, transparent, explainable and data privacy-enhanced to minimize emergent properties or unintended consequences. • Robust development and pre-deployment functionality, security and data privacy testing is conducted on all internal and third-party AAT projects. • Production use of AAT is closely monitored to minimize emergent properties or unintended consequences.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prioritize, respond to and remediate Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks based on assessments and other analytical output.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MANAGE 1.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-2 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Asset Management,Asset Governance ,AST-01,Mechanisms exist to facilitate an IT Asset Management (ITAM) program to implement and manage asset management controls.,"- Generally Accepted Accounting Principles (GAAP) - ITIL - Configuration Management Database (CMDB) - IT Asset Management (ITAM) program",E-AST-01,Does the organization facilitate an IT Asset Management (ITAM) program to implement and manage asset management controls?,10,Identify,X,X,X,There is no evidence of a capability to facilitate an IT Asset Management (ITAM) program to implement and manage asset management controls.,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function to determine prioritized and authoritative guidance for asset management practices, within the broader scope of cybersecurity and data protection operations. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization. This CONOPS for asset management may be incorporated as part of a broader operational plan for the cybersecurity & data privacy program. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to facilitate the implementation of secure and compliant practices to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. Compliance requirements for data backups are identified and documented. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including asset management. The steering committee establishes a clear and authoritative accountability structure for asset management operations. • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • An ITAM function, or similar function, conducts ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Anti-theft software is installed on laptops and mobile devices to track assets removal from facilities. If possible, alerting is enabled for sensitive/regulated assets. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. ","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"1.0 1.3 2.0 2.1 2.2","2.1 2.2","1.3 2.1 2.2","1.3 2.1 2.2","BAI09.01 BAI09.02 BAI09.03 BAI09.04 BAI09.05",,DCS-05,ASM-02,SO15,,,,,,,11.2.6,"5.30 5.31 7.9","8.1 8.1.1",,,,,,,,Sec 4(D)(2)(b),GOVERN 2.0,PR.DS-P3,,P-18,,PM-5,,,,PM-5,,,,,PM-5,,,,,,PM-5,,PM-5,,PM-5,PM-5,3.4.1,"3.1.18.a 3.4.8.a 3.4.8.b 3.4.8.c",,,3.4.3e,,ID.AM-1,ID.AM,,"12.3.3 12.3.4 12.3.7","6.3.2 9.5.1 9.5.1.1 11.2 11.2.2",,,"9.5.1 9.5.1.1","9.5.1 9.5.1.1","9.5.1 9.5.1.1 11.2.2",,"9.5.1 9.5.1.1 11.2.2","9.5.1 9.5.1.1 11.2.2","9.5.1 9.5.1.1",D.1,,"1.3 1.3.1",,,,"ASSET-1.D.MIL2 ASSET-1.H.MIL3 ASSET-2.D.MIL2","ADM:SG1.SP1 ADM:SG3.SP2 TM:SG1.SP1",,,,CM.L2-3.4.1,,,CM.L2-3.4.1,"CM.L2-3.4.1 CM.L3-3.4.3e",PM-5,,,,,,,,,,,,,,,,,,,,,,,,5.S.A,5.M.A,"5.M.A 2.L.A",PM-5,120.45,,8-311,1.2,,,,,,,,,,,,,,,,,,,,,,,38-99-20(D)(2)(b),,,PM-5,,,,,,"3.5(53) 3.5(54)",,,"Art 32.1 Art 32.2",Article 21.2(i),,,"Sec 14 Sec 15",Art 16,,,,,,12.2,AM-03,,,,,,,,,,,,,,,,"2-1 2-5",,3.3.3,"2-1-1 2-1-2 2-6-1 2-6-2 2-6-4",2-1,,,"Sec 19.1 Sec 19.2",,,,,,,A3.a,A3,,,,"Principle 2.1 Principle 6.1","Principle 2.1 Principle 6.1",,,,"0285 0286 0289 0290 0292 0591 1480 1457",,,"21 21(c)",,,,,,,,"8.1.1.6.PB 11.2.6",,5.1,8.4.9.C.01,,,,,"3.3.1 3.3.1(a) 3.3.1(d) 7.1.1 11.4.1 11.4.2 11.4.3",,,,,,5.9,,,2.2.1,,,,,,,,,,,x,NAIC,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-6 R-EX-7 R-GV-2 R-GV-4 R-IR-1 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,,,,,,R-EX-6,R-EX-7,,R-GV-2,,R-GV-4,,,,,R-IR-1,,,,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Asset Management,Asset-Service Dependencies,AST-01.1,Mechanisms exist to identify and assess the security of technology assets that support more than one critical business function. ,,E-BCM-09,Does the organization identify and assess the security of technology assets that support more than one critical business function? ,5,Identify,,X,X,There is no evidence of a capability to identify and assess the security of technology assets that support more than one critical business function. ,"SP-CMM1 is N/A, since a structured process is required to identify and assess the security of technology assets that support more than one critical business function. ","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • F or business-critical business services and assets, dependencies are reviewed by cybersecurity personnel for security concerns.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • The CMDB, or similar tool, is leveraged to identify asset-service dependencies that can impact the security of technology assets, as well as relevant stakeholders and data/process owners. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy controls are addressed to ensure secure configurations are designed, built and maintained.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and assess the security of technology assets that support more than one critical business function. ",,CC5.2-POF1,,,,,,"APO09.01 APO09.02 BAI09.01 BAI09.02",,,,,,,RQ-09-08.a,,,,,"5.9 5.30",,,,,,,,,,,ID.IM-P8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.OC-04 ID.AM-05",,,,,,,,,,,,,K.12.3,,3.1.3,,,,ASSET-1.A.MIL1,"ADM:SG2.SP2 EC:SG4.SP3 TM:SG5.SP4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.B.1.a,,,,,,,,,,,,,,,,,,,,,,,"3.3.3(17) 3.3.3(18) 3.5(54)",Art 8.5,,,,,,,,,,,,,12.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A3.a B3.a",A4,,,,,,,,,,,,21(a),,,,,,,,,,,,,,,,,,,,,,,,,2.9.2,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-6 R-GV-2 R-IR-1 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,,,,,,R-EX-6,,,R-GV-2,,,,,,,R-IR-1,,,,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Stakeholder Identification & Involvement,AST-01.2,"Mechanisms exist to identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets.",,E-CPL-03,"Does the organization identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets?",5,Identify,,X,,"There is no evidence of a capability to identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Quarterly IT asset inventories are reviewed and shared with appropriate stakeholders.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and involve pertinent stakeholders of critical systems, applications and services to support the ongoing secure management of those assets.",,,,,,,,"EDM05.01 EDM05.02 EDM05.03 DSS06.02",,,,,,,,,4.2,"4.2 4.2(a)",,5.9,8.1,,,,,,,,,"GOVERN 1.1 GOVERN 2.0 GOVERN 5.0","ID.IM-P2 ID.IM-P8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.OC-02,,,,,,,,,,,,,D.1,,,,,,,"GG2.GP7 MON:SG1.SP2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.A,,,,,,,,,,,,,,,,,,,,,,,"3.3.2(16) 3.5(54)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-1-1-4,,,,,,,,,,A3.a,,,,,,,,,,,,,,,,,,,,,"4.4.3 4.4.3.1",,,,,,,,3.3.1(c),,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-6 R-GV-2 R-GV-4 R-IR-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,R-EX-6,,,R-GV-2,,R-GV-4,,,,,R-IR-1,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Standardized Naming Convention,AST-01.3,"Mechanisms exist to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts.",,,"Does the organization implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts?",5,Identify,,,X,"There is no evidence of a capability to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts.","SP-CMM1 is N/A, since a structured process is required to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts.","SP-CMM2 is N/A, since a well-defined process is required to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Standardized and scalable naming conventions for systems, applications and services are in place to avoid asset naming conflicts.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a scalable, standardized naming convention for systems, applications and services that avoids asset naming conflicts.",,,,,,,,,,,ASM-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.1.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-6 R-GV-1 R-GV-2 R-GV-6 R-GV-7 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,R-EX-1,,,,,R-EX-6,,R-GV-1,R-GV-2,,,,R-GV-6,R-GV-7,,,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Asset Inventories ,AST-02,"Mechanisms exist to perform inventories of technology assets that: ▪ Accurately reflects the current systems, applications and services in use; ▪ Identifies authorized software products, including business justification details; ▪ Is at the level of granularity deemed necessary for tracking and reporting; ▪ Includes organization-defined information deemed necessary to achieve effective property accountability; and ▪ Is available for review and audit by designated organizational personnel.","- ManageEngine AssetExplorer - LANDesk IT Asset Management Suite - ServiceNow (https://www.servicenow.com/) - SolarWinds (https://www.solarwinds.com/) - CrowdStrike - JAMF - ITIL - Configuration Management Database (CMDB)","E-AST-04 E-AST-05 E-AST-07","Does the organization perform inventories of technology assets that: ▪ Accurately reflects the current systems, applications and services in use; ▪ Identifies authorized software products, including business justification details; ▪ Is at the level of granularity deemed necessary for tracking and reporting; ▪ Includes organization-defined information deemed necessary to achieve effective property accountability; and ▪ Is available for review and audit by designated organizational personnel?",10,Identify,,X,X,"There is no evidence of a capability to perform inventories of technology assets that: ▪ Accurately reflects the current systems, applications and services in use; ▪ Identifies authorized software products, including business justification details; ▪ Is at the level of granularity deemed necessary for tracking and reporting; ▪ Includes organization-defined information deemed necessary to achieve effective property accountability; and ▪ Is available for review and audit by designated organizational personnel.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Inventories are manual (e.g., spreadsheets). • Assets are assigned owners and are documented. • No structured process exists to review or share the results of the inventories.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Maintenance of asset inventory is performed at least annually. • Inventory of physical technology assets are assigned to individual users or teams and covers common devices (e.g., laptops, workstations and servers). • Inventories may be manual (e.g., spreadsheets) or automated. • No structured process exists to review or share the results of the inventories. • Annual IT asset inventories validate or update stakeholders /owners.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Quarterly IT asset inventories are reviewed and shared with appropriate stakeholders. • Inventories are predominately automated, but may have some manual components (e.g., cloud-based assets that are out of scope for automated inventory scans). • Inventories processes include Indicators of Compromise (IoC) to identify evidence of physical tampering. • Inventory scans are configured to be recurring, based on ITAM tool configuration settings. • Annual IT asset inventories validate or update stakeholders / owners. • A Software Asset Management (SAM) solution is used to centrally manage deployed software. • An ITAM function, or similar function, conducts ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,CC6.1-POF1,,"1.0 1.1 2.0 2.1 2.2 2.4 6.6","1.1 2.1 2.2","1.1 2.1 2.2 2.4 6.6","1.1 2.1 2.2 2.4 6.6",BAI09.01,,"DCS-05 DSP-03 STA-07 UEM-04","ASM-01 SNT-04",SO15,,CR 7.8 (11.10.1),,,,,8.1.1,5.9,8.1.1,,"6.5 6.5.1 6.5.1.1",,,,"T1011.001, T1020.001, T1021.001, T1021.003, T1021.004, T1021.005, T1021.006, T1046, T1052, T1052.001, T1053, T1053.002, T1053.005, T1059, T1059.001, T1059.005, T1059.007, T1068, T1072, T1091, T1092, T1098.004, T1119, T1127, T1127.001, T1133, T1137, T1137.001, T1189, T1190, T1195.003, T1203, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1218, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1221, T1495, T1505, T1505.001, T1505.002, T1505.004, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1546.002, T1546.006, T1546.014, T1547.007, T1548, T1548.004, T1553, T1553.006, T1557, T1557.001, T1557.002, T1559, T1559.002, T1563, T1563.001, T1563.002, T1564.006, T1564.007, T1565, T1565.001, T1565.002, T1574, T1574.004, T1574.007, T1574.008, T1574.009, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002",TS-5.0,,GOVERN 1.6,ID.IM-P1,,P-10,,"CM-8 PM-5",CM-8,CM-8,CM-8,"CM-8 PM-5",,CM-8,CM-8,CM-8,PM-5,,CM-8,CM-8,CM-8,,"CM-8 PM-5",CM-8,"CM-8 PM-5",,"CM-8 PM-5","CM-8 PM-5",3.4.1,"3.4.8.a 3.4.8.c 3.4.10.a 3.4.10.b","3.4.1[d] 3.4.1[e] 3.4.1[f]","A.03.04.10.a A.03.04.10.b[01] A.03.04.10.b[02]","3.4.1e 3.4.3e",,"ID.AM-1 ID.AM-2 ID.AM-4","ID.AM-01 ID.AM-02 ID.AM-07",,"1.1.2 2.4","6.3.2 9.5.1 9.5.1.1 11.2 11.2.2",,,"9.5.1 9.5.1.1","9.5.1 9.5.1.1","9.5.1 9.5.1.1 11.2.2",,"9.5.1 9.5.1.1 11.2.2","9.5.1 9.5.1.1 11.2.2","9.5.1 9.5.1.1",D.1.1,,1.3.1,,,,"ASSET-1.B.MIL2 ASSET-1.D.MIL2 ASSET-1.F.MIL3 ASSET-1.G.MIL3 ASSET-1.H.MIL3 ASSET-2.A.MIL1 ASSET-2.B.MIL2 ASSET-2.D.MIL2 ASSET-2.F.MIL3 ASSET-2.G.MIL3","ADM:SG1.SP1 TM:SG1.SP1",2.3,,,CM.L2-3.4.1,"CM.L2-3.4.1 TBD - 3.4.1e",,CM.L2-3.4.1,"CM.L2-3.4.1 CM.L3-3.4.1e CM.L3-3.4.3e","CM-8 PM-5",,252.204-7018(c),,,,,,CM-8,CM-8,CM-8,CM-8,CM-8,CM-8,CM-8,CM-8,CM-8,CM-8,,"D1.G.IT.B.1 D4.RM.Dd.B.2 D4.C.Co.B.3",,,,164.310(d)(2)(iii),5.S.A,"5.M.A 9.M.D","5.M.A 9.M.D 2.L.E","CM-8 PM-5",,,,,,,,,,CM-8,CM-8,CM-8,,,,,,,,,,,,,,,,,,"CM-8 PM-5",CM-8,CM-8,,,,"3.5(53) 3.5(54)","Art 8.4 Art 8.6",,,,,,"Sec 14 Sec 15",Art 16,,,,,,"8.2 12.2","AM-01 AM-02",,,,,,,,,,,,,,,,2-1-1-1,,,,"2-1 2-1-1 2-1-1-3",,,,,7.3.1 [OP.EXP.1],,,,,"A3.a B3.e",,,,,"Principle 2.1 Principle 6.1","Principle 2.1 Principle 6.1",,,,"0336 1643 1807",,,,,,,,,,,"8.1.1 8.1.1.6.PB",,,"8.4.8.C.01 8.4.9.C.01",,,,,"3.3.1(a) 3.3.2",,,,,,5.9,,3.1,"2.2.2 2.2.3 3.1.4",,,,,,,,,,,x,Lockton,,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3",,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Updates During Installations / Removals,AST-02.1,"Mechanisms exist to update asset inventories as part of component installations, removals and asset upgrades. ","- CrowdStrike - JAMF - ITIL - Configuration Management Database (CMDB)",,"Does the organization update asset inventories as part of component installations, removals and asset upgrades? ",7,Identify,,,X,"There is no evidence of a capability to update asset inventories as part of component installations, removals and asset upgrades. ","SP-CMM1 is N/A, since a structured process is required to update asset inventories as part of component installations, removals and asset upgrades. ","SP-CMM2 is N/A, since a well-defined process is required to update asset inventories as part of component installations, removals and asset upgrades. ","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • The process of purchasing, updating, repairing and disposing of assets is integrated into ITAM processes.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to update asset inventories as part of component installations, removals and asset upgrades. ",,,,,,,,,,,,,,CR 7.8 (11.10.1),,,,,,,,,,,,,,,,,ID.IM-P1,,,,CM-8(1),,CM-8(1),CM-8(1),CM-8(1),,,CM-8(1),CM-8(1),,,,CM-8(1),CM-8(1),,CM-8(1),,,,,CM-8(1),,3.4.10.c,3.4.1[f],,,,,,,,,,,,,,,,,,D.1.1.1,,,,,,,,,,,,,,,,CM-8(1),,,,,,,,CM-8(1) ,,CM-8(1) ,CM-8(1) ,,CM-8(1),,CM-8(1),CM-8(1),,,,,,,164.310(d)(2)(iii),5.S.A,"5.M.A 9.M.D","5.M.A 9.M.D 2.L.A",CM-8(1),,,,,,,,,,,CM-8(1) ,CM-8(1) ,,,,,,,,,,,,,,,,,,,,CM-8(1),,,,,Art 8.6,,,,,,,,,,,,,,"AM-01 AM-02",,,,,,,,,,,,,,,,,,,,2-1-1-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-GV-2 R-IR-1 R-SA-1",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,,,R-GV-2,,,,,,,R-IR-1,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Automated Unauthorized Component Detection,AST-02.2,"Automated mechanisms exist to detect and alert upon the detection of unauthorized hardware, software and firmware components.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - DHCP logging - Active discovery tools - NNT Change Tracker (https://www.newnettechnologies.com) - Vectra - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/) - Puppet (https://puppet.com/) - Chef (https://www.chef.io/) (https://www.chef.io/) - Microsoft SCCM - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)",,"Does the organization use automated mechanisms to detect and alert upon the detection of unauthorized hardware, software and firmware components?",3,Detect,,,X,"There is no evidence of a capability to detect and alert up on the detection of unauthorized hardware, software and firmware components.","SP-CMM1 is N/A, since a structured process is required to detect and alert up on the detection of unauthorized hardware, software and firmware components.","SP-CMM2 is N/A, since a well-defined process is required to detect and alert up on the detection of unauthorized hardware, software and firmware components.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • The ITAM tool is configured to detect and alert on instances of duplication, unauthorized components and unauthorized software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the change is malicious in nature.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect and alert up on the detection of unauthorized hardware, software and firmware components.",,CC7.1-POF4,,"1.2 1.3 1.5 2.2 2.3 2.4","1.2 2.2 2.3","1.2 1.3 2.2 2.3 2.4","1.2 1.3 1.5 2.2 2.3 2.4",,,,"CCM-06 SNT-04",,,,,,,,,,,,,,,,,,,,,,,,CM-8(3),,CM-8(3),CM-8(3),CM-8(3),,,CM-8(3),CM-8(3),,,,CM-8(3),CM-8(3),,,,,,,,,,,"A.03.04.10.c[01] A.03.04.10.c[02] A.03.04.10.c[03]","3.4.3e 3.5.3e",,,,,,,,,,,,,,,,N.2.4,,,,,,,,,,,,TBD - 3.5.3e,,,"CM.L3-3.4.3e IA.L3-3.5.3e",CM-8(3),,,,,,,,CM-8(3) ,,CM-8(3) ,CM-8(3) ,,CM-8(3),,CM-8(3),CM-8(3),,,,,,,,,,"5.L.A 5.L.B",CM-8(3),,,,,,,,,,,,CM-8(3) ,,,,,,,,,,,,,,,,,,,,CM-8(3),,,,,,,,,,,,,,,,,,,AM-02,,,,,,,,,,,,,,,,,,,,2-3-1-11,,,,,,,,,,,,,,,,,,,,1807,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-4 R-EX-6 R-GV-2 R-IR-1 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,,R-BC-4,,,,,,,R-EX-6,,,R-GV-2,,,,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Asset Management,Component Duplication Avoidance ,AST-02.3,Mechanisms exist to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories.,"- ITIL - Configuration Management Database (CMDB) - Manual or automated process",,Does the organization establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories?,2,Identify,,X,X,There is no evidence of a capability to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories.,"SP-CMM1 is N/A, since a structured process is required to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories.","SP-CMM2 is N/A, since a well-defined process is required to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish and maintain an authoritative source and repository to provide a trusted source and accountability for approved and implemented system components that prevents assets from being duplicated in other asset inventories.",,,,1.3,,1.3,1.3,,,,,,,,,,,,,,,,,,,,"T1011.001, T1020.001, T1021.001, T1021.003, T1021.004, T1021.005, T1021.006, T1046, T1052, T1052.001, T1053, T1053.002, T1053.005, T1059, T1059.001, T1059.005, T1059.007, T1068, T1072, T1091, T1092, T1098.004, T1119, T1127, T1127.001, T1133, T1137, T1137.001, T1189, T1190, T1195.003, T1203, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1218, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1221, T1495, T1505, T1505.001, T1505.002, T1505.004, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1546.002, T1546.006, T1546.014, T1547.007, T1548, T1548.004, T1553, T1553.006, T1557, T1557.001, T1557.002, T1559, T1559.002, T1563, T1563.001, T1563.002, T1564.006, T1564.007, T1565, T1565.001, T1565.002, T1574, T1574.004, T1574.007, T1574.008, T1574.009, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002",,,,,,,,CM-8(5),,CM-8(5),CM-8(5),CM-8,,CM-8,CM-8,CM-8,,,CM-8,CM-8,CM-8,,CM-8,CM-8,CM-8,,CM-8,CM-8,NFO - CM-8(5),,,,,,,,,,,,,,,,,,,,D.1.1,,,,,,,,,,,,,,,,CM-8(5),,,,,,,,CM-8(5) ,,CM-8(5) ,CM-8(5) ,,,,,,,,,,,,,,,5.L.A,CM-8,,,,,,,,,,,,CM-8(5) ,,,,,,,,,,,,,,,,,,CM-8,,CM-8(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-6 R-GV-7",,,,,,,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,,,,,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Approved Baseline Deviations,AST-02.4,Mechanisms exist to document and govern instances of approved deviations from established baseline configurations. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/) - SCCM - Puppet (https://puppet.com/) - Chef (https://www.chef.io/) (https://www.chef.io/) - Microsoft SCCM","E-RSK-03 E-TDA-14",Does the organization document and govern instances of approved deviations from established baseline configurations? ,8,Identify,,,X,There is no evidence of a capability to document and govern instances of approved deviations from established baseline configurations. ,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • System configurations loosely conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) • Deviations from approved baseline configurations are handled on a case-by-case basis by IT/cybersecurity personnel. Acceptance of any deviations from baselines must be informed by performance of a risk assessment.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Documented procedures exist for requesting a deviation from approved deviations. • Any deviations from approved baseline configurations must be formally reviewed, approved and documented (both approved and unapproved) in a repository by cybersecurity personnel. • Deviations from approved software deployments are reviewed, approved and documented on a case-by-case basis by IT/cybersecurity personnel.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Formalized steps and requirements for requesting a deviation to a standard are published. • The request for a deviation from approved baseline configurations is centrally managed and tracked by ITAM who routes the request to cybersecurity personnel for assessment. • Deviations to baseline configurations are required to have a risk assessment performed and the appropriate business stakeholder accept any risk(s) associated with the deviation.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document and govern instances of approved deviations from established baseline configurations. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-8(6),,,,CM-8(6),,,,,CM-8(6),,,,,,CM-8(6),,,,,CM-8(6),,3.4.2.b,,,,,,,,,,,,,,,,,,,C.1.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SP-03,,,,6.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Network Access Control (NAC),AST-02.5,"Automated mechanisms exist to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.","- Cisco NAC - Aruba Networks - Juniper NAC - Packet Fence - Symantec NAC - Sophos NAC - Bradford Networks NAC Director - Cisco ISE - ForeScout",,"Does the organization use automated mechanisms to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices?",4,Protect,,X,X,"There is no evidence of a capability to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.","SP-CMM1 is N/A, since a structured process is required to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.","SP-CMM2 is N/A, since a well-defined process is required to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Network Access Control (NAC) technologies are deployed on network segments and/ or endpoint devices to prevent unauthorized network communications, as well as personal and third-party devices from connecting to internal networks. • NAC is also configured to alert cybersecurity personnel for possible incidents (e.g., NAC logs are directed to a SIEM).","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ Network Access Control (NAC), or a similar technology, which is capable of detecting unauthorized devices and disable network access to those unauthorized devices.",,,,13.9,,,13.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-3(4),,,,"IA-3(4) SC-7(19)",,,,,,,,,,,SC-7(19),,,,,SC-7(19),,,,,3.5.3e,,,,,,,,,,,,,,,,N.2.4,,,,,,,,,,,,TBD - 3.5.3e,,,IA.L3-3.5.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,"5.L.B 6.L.E",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,23.6,,,,,,,,,,,,,,,,,,,,,,,,,,B2.b,,,,,,,,,,"0520 1182",,,,,,,,,,,,,,,,,,,11.2.4,,,,,,,,"4.21 4.24",,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,,- wordsmithed control Asset Management,Dynamic Host Configuration Protocol (DHCP) Server Logging,AST-02.6,Mechanisms exist to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems. ,"- Splunk - Manual Process - Build Automation Tools - NNT Log Tracker (https://www.newnettechnologies.com/event-log-management.html) - Chef (https://www.chef.io/) (https://www.chef.io/) - Puppet (https://puppet.com/) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)",E-MON-04,Does the organization enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems? ,3,Identify,,,X,There is no evidence of a capability to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems. ,"SP-CMM1 is N/A, since a structured process is required to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems. ","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • DHCP logs are forwarded to a centralized log collect or (e.g., syslog server or log aggregator). • Dynamic Host Configuration Protocol (DHCP) logging is enabled on all DHCP servers.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • DHCP logs are forwarded to a Security Incident Event Manager (SIEM). • Dynamic Host Configuration Protocol (DHCP) logging is enabled on all DHCP servers.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable Dynamic Host Configuration Protocol (DHCP) server logging to improve asset inventories and assist in detecting unknown systems. ",,,,"1.4 1.5",,1.4,"1.4 1.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.1.1.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 2.1 Principle 6.1","Principle 2.1 Principle 6.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",,,,R-AC-4,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,,,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Software Licensing Restrictions,AST-02.7,"Mechanisms exist to protect Intellectual Property (IP) rights with software licensing restrictions. ","- Manual Process - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)",,"Does the organization protect Intellectual Property (IP) rights with software licensing restrictions? ",8,Identify,,,X,"There is no evidence of a capability to protect Intellectual Property (IP) rights with software licensing restrictions. ","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Organizational policies and standards cover software licensing restrictions for users, as part of acceptable and unacceptable behaviors.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Organizational policies and standards cover software licensing restrictions for users, as part of acceptable and unacceptable behaviors. • Software license violations are investigated by the ITAM team, in coordination with cybersecurity personnel, whenever necessary.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect Intellectual Property (IP) rights with software licensing restrictions. ",,,,2.2,2.2,2.2,2.2,BAI09.05,,,,,,,,,,,18.1.2 ,"5.32 6.2",18.1.2 ,,6.15.1.2,,,,,,,,,,,,SC-18(2),,,,SC-18(2),,,,,SC-18(2),,,,,,SC-18(2),,,,,SC-18(2),,,,,,,,,,,,,,,,,,,,,"L.25 ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-18(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,3,,,,,,,,,,,,,,,,,,,"18.1.2 18.1.2.13.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-3 R-AM-1 R-AM-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-6 R-IR-3 R-SA-1",,,R-AC-3,,R-AM-1,,R-AM-3,,,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,,R-GV-6,,,,,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Data Action Mapping,AST-02.8,"Mechanisms exist to create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed.","- Visio - Lucid Chart",E-DCH-05,"Does the organization create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed?",9,Identify,,X,X,"There is no evidence of a capability to create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • on at least an annual basis, or after any major technology or process change, the data/process owner updates the data mapping documentation.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • on at least an annual basis, or after any major technology or process change, the data/process owner updates any data mapping documentation. • A Data Protection Officer (DPO) maintains a centralized repository of personal data mapping, as well as sensitive/regulated data flows.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to create and maintain a map of technology assets where sensitive/regulated data is stored, transmitted or processed.",,,,,,,,,,,,,,,,,,,,5.9,,,,,,,,,,,"ID.IM-P1 ID.IM-P4 ID.IM-P5 ID.IM-P8",,,,,,,,CM-13,,,,,CM-13,,,,,,CM-13,,,,CM-13,CM-13,,"3.4.11.a 3.4.11.c 3.15.2.a.5",,,,,,,,,,,,,,,,,,,P.2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-4-1-16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Lockton,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Configuration Management Database (CMDB),AST-02.9,"Mechanisms exist to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.",- Configuration Management Database (CMDB),,"Does the organization implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information?",5,Identify,,,X,"There is no evidence of a capability to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.","SP-CMM1 is N/A, since a structured process is required to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.","SP-CMM2 is N/A, since a well-defined process is required to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • ITAM leverages an established Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets and user assignment. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy controls are addressed to ensure secure configurations are designed, built and maintained. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and manage a Configuration Management Database (CMDB), or similar technology, to monitor and govern technology asset-specific information.",,,,2.4,,2.4,2.4,"EDM05.01 EDM05.02 EDM05.03 APO01.06",,,,,,,,,,,,,,,,,,,,TS-5.0,,,,,,,CM-8(2),,,CM-8(2),"CM-8(2) CM-8(7)",,,,CM-8(2),CM-8(7),,,,CM-8(2),,"CM-8(2) CM-8(7)",,,,,"CM-8(2) CM-8(7)",,"3.4.8.a 3.4.8.b 3.4.8.c 3.4.10.a 3.4.10.b 3.4.10.c",,,"3.4.2e 3.4.3e",,,,,,,,,,,,,,,,D.1.1,,,,,,"ASSET-1.D.MIL2 ASSET-1.H.MIL3 ASSET-2.D.MIL2 ASSET-2.E.MIL2 ASSET-2.F.MIL3 ASSET-2.G.MIL3","ADM:SG3.SP2 SC:SG7.SP1",,,,,TBD - 3.4.3e,,,"CM.L3-3.4.2e CM.L3-3.4.3e",,,,,,,,,CM-8(2),,,CM-8(2),,CM-8(2),,,CM-8(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-1-1 2-1-1-2 2-1-1-3",,,,,,,,,,,,,,,"Principle 2.1 Principle 6.1","Principle 2.1 Principle 6.1",,,,1493,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2.2.2 2.2.3",,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,"Automated Location Tracking",AST-02.10,Mechanisms exist to track the geographic location of system components.,,,Does the organization track the geographic location of system components?,5,Identify,,X,X,There is no evidence of a capability to track the geographic location of system components.,"SP-CMM1 is N/A, since a structured process is required to track the geographic location of system components.","SP-CMM2 is N/A, since a well-defined process is required to track the geographic location of system components.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • ITAM, or a supporting system, has the capability to bind components to a specific IT assets and track the real-time GPS location of the device.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-8(8),,,,,,,,,,,CM-8(8),,,,CM-8(8),CM-8(8),,,,,,,,,,,,,,,,,,,,,D.1.1.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-2 R-AM-3 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,,,,,,,,,,,,,,,,,,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-2 MT-8 MT-9 MT-12 MT-13 MT-14",,,,,,,,,,,,,,,,MT-2,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,,, Asset Management,Component Assignment,AST-02.11,Mechanisms exist to bind components to a specific system.,,,Does the organization bind components to a specific system?,3,Identify,,,X,There is no evidence of a capability to bind components to a specific system.,"SP-CMM1 is N/A, since a structured process is required to bind components to a specific system.","SP-CMM2 is N/A, since a well-defined process is required to bind components to a specific system.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to bind components to a specific system.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to bind components to a specific system.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-8(9),,,,,,,,,,,CM-8(9),,,,,CM-8(9),,,,,,,,,,,,,,,,,,,,,G.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-3 R-AM-1 R-AM-2 R-AM-3 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,R-AC-3,,R-AM-1,R-AM-2,R-AM-3,,,,,,,,,,,,,,,,,,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"MT-2 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,MT-2,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Asset Management,Asset Ownership Assignment,AST-03,"Mechanisms exist to ensure asset ownership responsibilities are assigned, tracked and managed at a team, individual, or responsible organization level to establish a common understanding of requirements for asset protection.",,"E-AST-01 E-CPL-03","Does the organization ensure asset ownership responsibilities are assigned, tracked and managed at a team, individual, or responsible organization level to establish a common understanding of requirements for asset protection?",8,Identify,,X,,"There is no evidence of a capability to ensure asset ownership responsibilities are assigned, tracked and managed at a team, individual, or responsible organization level to establish a common understanding of requirements for asset protection.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Inventory of physical technology assets are assigned to individual users or teams and covers common devices (e.g., laptops, workstations and servers). • Organizational policies and standards cover: o Enhanced security requirements for unattended systems (e.g., kiosks, ATMs, etc.) and point of sale devices. o Media handling requirements for users. o Requirements for approving assets from entering or existing facilities. o Requirements for users to dispose of, destroy or repurpose system components when it is no longer needed for business or legal reasons. o Requirements for users to secure laptops while traveling. o Software licensing restrictions for users, as part of acceptable and unacceptable behaviors. o Use of personal devices (e.g., Bring Your Own Device (BYOD), as part of acceptable and unacceptable behaviors. o Use of third-party devices, as part of acceptable and unacceptable behaviors.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Data/process owners for business-critical assets are documented and are reviewed as part of the annual asset inventories.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Stakeholders leverage ITAM tools to create and maintain an inventory of systems, applications and services, that need to adhere to statutory, regulatory and/ or contractual requirements, with sufficient detail to determine control applicability. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • Data/process owners for business-critical assets are documented and are reviewed as part of the annual asset inventories.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,APO01.06,,,,,,,,,,,8.1.2,5.9,8.1.2,,6.5.1.2,,,,,,,,ID.IM-P2,,,,,,,,SA-4(12),,,,,SA-4(12),,SA-4(12),SA-4(12),SA-4(12),,,,,,,,,,,,,,,,,2.5,"2.2.2 2.2.4 2.2.5 6.5.2",2.2.2,"2.2.2 2.2.4 2.2.5 6.5.2",,2.2.2,"2.2.2 2.2.4 2.2.5 6.5.2","2.2.2 2.2.4 2.2.5","2.2.2 2.2.4 2.2.5 6.5.2","2.2.2 2.2.4 2.2.5 6.5.2",,D.8,,,,,,,ADM:SG1.SP3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-4(12),,,,,,,,,,,,,III.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,,,,,,,,,,,,,2-1-1-2,,,,,,,,,,,,,,,,,,,,,,,,1071,,,,,,,,,,,"8.1.2 8.1.2.7.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,,R-EX-4,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SA-4(12) Asset Management,Accountability Information,AST-03.1,"Mechanisms exist to include capturing the name, position and/or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.",,E-AST-01,"Does the organization include capturing the name, position and/or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process?",5,Identify,,,X,"There is no evidence of a capability to include capturing the name, position and/ or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.","SP-CMM1 is N/A, since a structured process is required to include capturing the name, position and/ or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Stakeholders leverage ITAM tools to create and maintain an inventory of systems, applications and services, that need to adhere to statutory, regulatory and/ or contractual requirements, with sufficient detail to determine control applicability.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include capturing the name, position and/ or role of individuals responsible/accountable for administering assets as part of the technology asset inventory process.",,,,,,,,"EDM05.01 EDM05.02 EDM05.03 APO01.06",,,,,,,,,,,,5.9,,,,,,,,,,,ID.IM-P2,,,,CM-8(4),,,CM-8(4),CM-8(4),,,,CM-8(4),,,,,CM-8(4),,CM-8(4),,,,,CM-8(4),,,,,,,,,,,,,,,,,,,,,D.1.1.2,,,,,,,ADM:SG1.SP3,,,,,,,,,,,,,,,,,CM-8(4),,,CM-8(4),,CM-8(4),,,CM-8(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Provenance,AST-03.2,"Mechanisms exist to track the origin, development, ownership, location and changes to systems, system components and associated data.",,E-AST-22,"Does the organization track the origin, development, ownership, location and changes to systems, system components and associated data?",8,Identify,,X,X,"There is no evidence of a capability to track the origin, development, ownership, location and changes to systems, system components and associated data.","SP-CMM1 is N/A, since a structured process is required to track the origin, development, ownership, location and changes to systems, system components and associated data.","SP-CMM2 is N/A, since a well-defined process is required to track the origin, development, ownership, location and changes to systems, system components and associated data.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • ITAM tracks the origin, development, ownership, location and changes to a system, system components and associated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to track the origin, development, ownership, location and changes to systems, system components and associated data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to track the origin, development, ownership, location and changes to systems, system components and associated data.",,,,,,,,,,,,,,"CR 3.13 (7.15) EDR 3.12 (13.7.1)",,,,,,5.21,,,,,,,"T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1059.002, T1204.003, T1505, T1505.001, T1505.002, T1505.004, T1546.006, T1554, T1567, T1601, T1601.001, T1601.002",,,,,"PW.4 PW.4.1",,,,,,,"SR-4 SR-4(1) SR-4(2)",,,,,"SR-4 SR-4(1) SR-4(2)",,,,,,SR-4,,,,SR-4,SR-4,,,,,,,,ID.RA-09,,,,,,,,,,,,,"P.2.3.7 ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1790 1791 1792",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Network Diagrams & Data Flow Diagrams (DFDs),AST-04,"Mechanisms exist to maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows.","- High-Level Diagram (HLD) - Low-Level Diagram (LLD) - Data Flow Diagram (DFD) - SolarWinds (https://www.solarwinds.com/) - Paessler - PRTG","E-DCH-03 E-DCH-04 E-DCH-05","Does the organization maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows?",10,Identify,,X,X,"There is no evidence of a capability to maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • on at least an annual basis, or after any major technology or process change, network diagrams are updated to reflect the current topology.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Data/process owners generate Data Flow Diagrams (DFDs) and network diagrams to document the flow of data to create and maintain a map of systems where sensitive/regulated data is stored, transmitted or processed. • Data/process owners document where personal data is stored, transmitted and/ or processed.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Stakeholders create network diagrams that graphically represent compliance boundaries (e.g., in-scope vs out-of-scope). • Data/process owners document where personal data is stored, transmitted and/ or processed.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain network architecture diagrams that: ▪ Contain sufficient detail to assess the security of the network's architecture; ▪ Reflect the current architecture of the network environment; and ▪ Document all sensitive/regulated data flows.",CC2.1,C1.1-POF1,,"3.8 12.4",,"3.8 12.4","3.8 12.4",,Principle 13,"DSP-05 IVS-08",DAT-03,,,,,,,,,"5.9 8.20",,,,,,,,TS-2.2,,,ID.IM-P1,,P-11,,"PL-2 SA-5(1) SA-5(2) SA-5(3) SA-5(4)",PL-2,PL-2,PL-2,"PL-2 SA-4(1) SA-4(2)",PL-2,PL-2,"PL-2 SA-4(1) SA-4(2)","PL-2 SA-4(1) SA-4(2)",,,PL-2,"PL-2 SA-4(1) SA-4(2)","PL-2 SA-4(1) SA-4(2)",,PL-2,PL-2,PL-2,,,PL-2,,"3.1.3 3.4.11.a 3.4.11.c 3.15.2.a.5",,,3.11.4e,,ID.AM-3,ID.AM-03,,"1.1.2 1.1.3","1.2.3 1.2.4",,"1.2.3 1.2.4",,1.2.3,,,"1.2.3 1.2.4","1.2.3 1.2.4",,N.1.1,,,"4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9",,,,"AM:SG1.SP1 EF:SG2.SP1 TM:SG1.SP1 TM:SG2.SP1 TM:SG2.SP2",7.4,5.7.1.2,,,TBD - 3.11.4e,,,RA.L3-3.11.4e,PL-2,,,,,,,,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,,"D4.C.Co.B.4 D4.C.Co.Int.1",,,,,,,"4.L.B 8.L.D","PL-2 SA-4(1) SA-4(2)",,,,,,,,,,PL-2,PL-2,PL-2,III.B.1.c,,,,,,,,,,,,,,,,,PL-2,PL-2,PL-2,,,,,Art 8.4,Art 9,"Art 30.1 Art 30.2 Art 30.3 Art 30.4 Art 30.5",,,,"Sec 14 Sec 15",Art 16,,,,,,,COS-07,,,,,,,,,,,,,,,,,,,,2-4-1-16,,,,,,,,,,"B3.a B4.c",,,,,,,,,,"0516 0518 1645 1646",,,,,,,,,,,,,,"18.1.9.C.02 18.1.11.C.01 18.1.12.C.01 18.1.12.C.02",,,,,,,,,,,,,3.1,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Asset Scope Classification,AST-04.1,"Mechanisms exist to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).",,"E-AST-02 E-CPL-02 E-DCH-01 E-DCH-02","Does the organization determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties)?",8,Identify,,,X,"There is no evidence of a capability to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).","SP-CMM1 is N/A, since a structured process is required to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).","SP-CMM2 is N/A, since a well-defined process is required to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Stakeholders performs perform annual scoping evaluations to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine cybersecurity & data privacy control applicability by identifying, assigning and documenting the appropriate asset scope categorization for all systems, applications, services and personnel (internal and third-parties).",,CC2.2-POF9,,,,,,,,,,,,,,,,4.3,,,,,,,,,,,,,,,,,,,,"PE-22 SA-5","PE-22 SA-5",,SA-5,SA-5,SA-5,PE-22,,,PE-22,PE-22,,SA-5,SA-5,,,,SA-5,,"3.4.11.a 3.4.11.c",,,,,,,,,A3.2.5,,,,,,,,,,P.2.1,,,,,,,,7.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-5,,,,,,,,,,,,,III.B.1.c,,,,,,,,,,,,,,,,,,,,,,,"3.3.3(17) 3.3.3(18)",,,,,,,,,,,,,,12.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A3.a B3.a",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for PE-22 Asset Management,Control Applicability Boundary Graphical Representation,AST-04.2,"Mechanisms exist to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.",,"E-AST-02 E-CPL-02","Does the organization ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries?",6,Identify,,X,X,"There is no evidence of a capability to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.","SP-CMM1 is N/A, since a structured process is required to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.","SP-CMM2 is N/A, since a well-defined process is required to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Stakeholders create network diagrams that graphically represent compliance boundaries (e.g., in-scope vs out-of-scope).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure control applicability is appropriately-determined for systems, applications, services and third parties by graphically representing applicable boundaries.",,"CC2.2-POF9 CC5.2-POF2",,,,,,,,,,,,,,,,,,,,,,,,,,TS-2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.11.a 3.4.11.c 3.15.2.a.2",,,,,,,,,"1.2.3 6.3.2 12.5.2.1 A3.2.5",,1.2.3,,1.2.3,,,1.2.3,"1.2.3 12.5.2.1",,N.1.3,,,,,,,,7.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.B.1.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-4-1-16,,,,,,,,,,B3.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-5 R-GV-1 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,R-GV-1,,,,,,,,,,,,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Asset Management,Compliance-Specific Asset Identification,AST-04.3,"Mechanisms exist to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.",,"E-AST-02 E-CPL-02","Does the organization create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization?",6,Identify,,X,X,"There is no evidence of a capability to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.","SP-CMM1 is N/A, since a structured process is required to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.","SP-CMM2 is N/A, since a well-defined process is required to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Stakeholders create network diagrams that graphically represent compliance boundaries (e.g., in-scope vs out-of-scope).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to create and maintain a current inventory of systems, applications and services that are in scope for statutory, regulatory and/ or contractual compliance obligations that provides sufficient detail to determine control applicability, based on asset scope categorization.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"12.5.1 12.5.2.1 A3.2.5",,,,,,,12.5.1,"12.5.1 12.5.2.1",,"B.1.1.3 ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B3.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-5 R-GV-1 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,R-GV-1,,,,,,,,,,,,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Asset Management,Security of Assets & Media,AST-05,Mechanisms exist to maintain strict control over the internal or external distribution of any kind of sensitive/regulated media. ,"- ITIL - Configuration Management Database (CMDB) - Definitive Software Library (DSL)",,Does the organization maintain strict control over the internal or external distribution of any kind of sensitive/regulated media? ,8,Identify,,X,,There is no evidence of a capability to maintain strict control over the internal or external distribution of any kind of sensitive/regulated media. ,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Data classification and handling criteria govern user behavior for media handling. • Organizational policies and standards cover media handling requirements.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Data classification and handling criteria govern user behavior for media handling. • Organizational policies and standards cover media handling requirements. • Users are educated on their responsibilities to strictly control sensitive/regulated media (e.g., USBs, mobile devices, external drives, etc.).","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain strict control over the internal or external distribution of any kind of sensitive/regulated media. ",,,,,,,,,,,,,,,,,,,11.2.6 ,7.9,11.2.6 ,,6.8.2.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,NFO - MP-1,"3.7.4.a 3.7.4.d 3.7.4.d.1 3.7.4.d.2 3.7.4.d.3",,,,,,,,"9.6 9.6.1 9.6.2 9.6.3",9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,,D.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-6-1-4,,,,,,,,,,,,,,,,,,,,"0161 1178",,,,,,,,,,,11.2.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Management Approval For External Media Transfer,AST-05.1,Mechanisms exist to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.,,,Does the organization obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities?,8,Protect,,X,X,There is no evidence of a capability to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.,"SP-CMM1 is N/A, since a structured process is required to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.","SP-CMM2 is N/A, since a well-defined process is required to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Data classification and handling criteria govern user behavior for media handling. • Organizational policies and standards cover media handling requirements. • Users are educated on their responsibilities to strictly control sensitive/regulated media (e.g., USBs, mobile devices, external drives, etc.). • Users are required to obtain management approval for any sensitive/regulated media before it is transferred outside of the organization's facilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain management approval for any sensitive / regulated media that is transferred outside of the organization's facilities.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,9.4.4,,D.11.2,"2.5A 2.9",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-6-1-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Asset Management,Unattended End-User Equipment ,AST-06,Mechanisms exist to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - File Integrity Monitoring (FIM) - Lockable casings - Tamper detection tape - Full Disk Encryption (FDE) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access?,9,Protect,,X,,There is no evidence of a capability to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services. • File Integrity Monitoring (FIM) is deployed on systems and unattended systems that store, process or transmit sensitive/regulated data to monitor the integrity of business-critical files to detect tampering. • Host-based Intrusion Prevention System (HIPS) is deployed on both systems and unattended systems to identify and block hostile activities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement enhanced protection measures for unattended systems to protect against tampering and unauthorized access.",,,,,,,,,,,,,,,,,,,"11.2.6 11.2.8","7.9 8.1","11.2.6 11.2.8",,6.8.2.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"9.5 9.5.1",,,"9.5 9.5.1","9.5 9.5.1","9.5 9.5.1",,"9.5 9.5.1","9.5 9.5.1",9.5.1,M.3.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.3.2 [MP.EQ.2],,,,,,,,,,,,,,,0161,,,,,,,,,,,"11.2.6 11.2.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Asset Storage In Automobiles,AST-06.1,"Mechanisms exist to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.","- Security awareness training - Gamification",,"Does the organization educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle?",7,Protect,,X,,"There is no evidence of a capability to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Security awareness training covers recommended practices for securing laptops and mobile devices while traveling.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Security awareness training covers recommended practices for securing laptops and mobile devices while traveling.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to educate users on the need to physically secure laptops and other mobile devices out of site when traveling, preferably in the trunk of a vehicle.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.3.4.7.2,,8.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AM-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4",R-AC-1,R-AC-2,,R-AC-4,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,R-EX-1,R-EX-2,,R-EX-4,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Kiosks & Point of Interaction (PoI) Devices,AST-07,Mechanisms exist to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - File Integrity Monitoring (FIM) - Lockable casings - Tamper detection tape - Chip & PIN",,Does the organization appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution? ,8,Protect,,X,X,There is no evidence of a capability to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution. ,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services. • Periodic physical inspections are performed to validate the integrity of unattended systems (e.g., kiosks, ATMs, etc.) and Point of Sale (POS) devices. • Organizational policies and standards cover Enhanced security requirements for unattended systems (e.g., kiosks, ATMs, etc.) and POS devices. ","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Hardened system configurations are used for unattended systems to enforce the principle of least functionality by removing unnecessary accounts, applications and services. • Periodic physical inspections are performed to validate the integrity of unattended systems (e.g., kiosks, ATMs, etc.) and Point of Sale (POS) devices. • Organizational policies and standards cover Enhanced security requirements for unattended systems (e.g., kiosks, ATMs, etc.) and POS devices. • Periodic physical and local inspections are performed to validate the integrity of unattended systems (e.g., kiosks, ATMs, etc.), sensitive/regulated systems and Point of Sale (POS) devices. • File Integrity Monitoring (FIM) is deployed on systems and unattended systems that store, process or transmit sensitive/regulated data to monitor the integrity of business-critical files to detect tampering. • Host-based Intrusion Prevention System (HIPS) is deployed on both systems and unattended systems to identify and block hostile activities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to appropriately protect devices that capture sensitive/regulated data via direct physical interaction from tampering and substitution. ",,,,,,,,,,,PHY-01,,,,,,,,11.2.8,8.1,11.2.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"9.9 9.9.1 9.9.2 9.9.3","9.5 9.5.1 9.5.1.1 9.5.1.2",,,"9.5.1 9.5.1.1 9.5.1.2","9.5.1 9.5.1.1 9.5.1.2","9.5.1 9.5.1.1 9.5.1.2",,"9.5.1 9.5.1.1 9.5.1.2","9.5.1 9.5.1.1 9.5.1.2","9.5.1 9.5.1.1 9.5.1.2",M.3.24,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Tamper Detection,AST-08,Mechanisms exist to periodically inspect systems and system components for Indicators of Compromise (IoC).,"- ""Burner"" phones & laptops - Tamper tape",,Does the organization periodically inspect systems and system components for Indicators of Compromise (IoC)?,9,Detect,,X,,There is no evidence of a capability to periodically inspect systems and system components for Indicators of Compromise (IoC).,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering of technology assets. ","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering of equipment","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering of equipment","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to periodically inspect systems and system components for Indicators of Compromise (IoC).",,,,,,,,,,,PHY-01,,,"CR 3.11 (7.13) EDR 3.11 (13.6.1) EDR 3.11 (13.6.3(1)) HDR 3.11 (14.6.1) HDR 3.11 (14.6.3(1)) NDR 3.11 (15.8.1) NDR 3.11 (15.8.3(1))",,,,,11.2.6,7.9,11.2.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"9.5.1.2 9.5.1.2.1",,,9.5.1.2,9.5.1.2,9.5.1.2,,"9.5.1.2 9.5.1.2.1","9.5.1.2 9.5.1.2.1",9.5.1.2,M.3.4.8.4,,,,,,,,,5.13.1.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.6,,,"8.5.3.C.01 8.5.3.C.02 8.5.3.C.03 8.5.3.C.04 8.5.4.C.01 8.5.4.C.02 8.5.4.C.03 8.5.5.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,"Secure Disposal, Destruction or Re-Use of Equipment ",AST-09,"Mechanisms exist to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.","- Shred-it - Iron Mountain - sdelete (sysinternals) - Bootnukem",E-AST-03,"Does the organization securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components?",10,Identify,,X,X,"There is no evidence of a capability to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • IT personnel collect technology assets and media for destruction when it is no longer needed for business or legal reasons. • IT personnel perform the destruction of technology assets and media in a secure manner or outsource the destruction to a third-party that specializes in technology assets and media destruction, as well as provides evidence of destruction (e.g., certificate of destruction). • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • IT personnel perform the destruction of technology assets and media in a secure manner or outsource the destruction to a third-party that specializes in technology assets and media destruction, as well as provides evidence of destruction (e.g., certificate of destruction). • Organizational standards exist for users to dispose of, destroy or repurpose system components when it is no longer needed for business or legal reasons. • Third-party providers ensure world-wide coverage to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent such components from entering the gray market. • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely dispose of, destroy or repurpose system components using organization-defined techniques and methods to prevent information being recovered from these components.",CC6.5,"CC6.5-POF2 C1.2-POF2 P4.3-POF2 P4.3-POF3",,3.5,3.5,3.5,3.5,,,DSP-02,POL-04,,,,,,,,11.2.7 ,"7.14 8.10",11.2.7 ,,"6.8.2.7 7.4.8",,,,,,,GOVERN 1.7,,,M-7,,SA-19(3),,,,SR-12,,SR-12,SR-12,SR-12,,,SR-12,SR-12,SR-12,3.4.14,SR-12,SR-12,,,SR-12,SR-12,,"3.7.4.d 3.7.4.d.1 3.7.4.d.2 3.7.4.d.3 3.8.3",,,,,PR.DS-3,,,"9.8 9.8.1 9.8.2",9.4.7,,,,,,,9.4.7,9.4.7,,D.4.3,,,,,,ASSET-2.H.MIL3,,,,,,,MP.L1-b.1.vii,,,,,,,52.204-21(b)(1)(vii),,,,,,,,,SR-12,SR-12,SR-12,SR-12,SR-12,,,,,314.4(c)(6)(i),"164.310(d)(2)(i) 164.310(d)(2)(ii)",5.S.C,5.M.D,"5.M.D 5.L.A 9.L.C",,,,,"10.3 10.4 18.5 19.5",,,,,5.8,,,,,"45.48.500 45.48.510",,,,,,,,,,,,,,Sec. 521.052(b),,SR-12,,,,,,,,,,,Art 24,,,,,,,,,,"AM-04 PI-03",,,,"15.4 17.21",,,,,,,,,,,,,"TPC-19 TPC-66",3.3.11,2-14-3-4,2-6-1-3,,,,,8.5.5 [MP.SI.5],,,,,"A3.a B3.a",,,,,,,,,,"0311 0312 0315 0317 0318 0350 0363 1076 1217 1218 1219 1220 1221 1222 1223 1225 1226 1534 1550 1741 1742 0321 1722 1723 1724 1725 1726 1727 1728 1729 1641",,,,,,,,,,,"11.2.7 11.2.7.4.PB",,,"11.2.13.C.01 11.2.13.C.02 11.7.35.C.01 12.6.4.C.01 12.6.4.C.02 12.6.5.C.01 12.6.5.C.02 12.6.5.C.03 12.6.5.C.04 12.6.5.C.05 12.6.8.C.01 12.6.9.C.01 12.6.10.C.01 13.4.19.C.02 13.4.10.C.01 13.5.24.C.01 13.5.24.C.02 13.5.24.C.03 13.5.24.C.04 13.5.25.C.01 13.5.26.C.01 13.5.26.C.02 13.5.26.C.03 13.5.29.C.01 13.5.29.C.02 13.5.30.C.01 13.6.6.C.01 13.6.6.C.02 13.6.7.C.01 13.6.8.C.01 13.6.9.C.01 13.6.10.C.01 13.6.10.C.02 13.6.10.C.03 13.6.11.C.01 13.6.12.C.01",,,,,11.1.7,,,,,,,,,2.2.4,,,,,,,,,,,x,FAR 52.204-21,x,,"R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",R-AC-1,R-AC-2,,R-AC-4,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Return of Assets ,AST-10,"Mechanisms exist to ensure that employees and third-party users return all organizational assets in their possession upon termination of employment, contract or agreement.","- Termination checklist - Manual Process - Native OS and Device Asset Tracking capabilities",E-AST-01,"Does the organization ensure that employees and third-party users return all organizational assets in their possession upon termination of employment, contract or agreement?",8,Protect,,X,,"There is no evidence of a capability to ensure that employees and third-party users return all organizational assets in their possession up on termination of employment, contract or agreement.","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Supervisors for users leaving the company collect assets and return those assets to IT personnel.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Supervisors for users leaving the company should collect assets and return the assets to IT personnel. • Assets not returned are reported as a security incident, based on the data that may exist on the device(s). • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Supervisors for users leaving the company should collect assets and return the assets to IT personnel. • Assets not returned by users leaving the organization are reported as a security incident, based on the data that may exist on the device(s). • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that employees and third-party users return all organizational assets in their possession up on termination of employment, contract or agreement.",,,,,,,,,,HRS-05,,,,,,,,,8.1.4 ,5.11,"8.1.4 CLD.8.1.5",,6.5.1.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A.03.09.02.a.03,,,,,,,,,,,,,,,,,D.26,,5.3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"AM-04 AM-05",,,,11.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.1.4 8.1.5.P",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,,R-AC-4,R-AM-1,,R-AM-3,,,,,R-BC-5,R-EX-1,R-EX-2,,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Removal of Assets ,AST-11,"Mechanisms exist to authorize, control and track technology assets entering and exiting organizational facilities. ","- RFID asset tagging - RFID proximity sensors at access points - Asset management software",,"Does the organization authorize, control and track technology assets entering and exiting organizational facilities? ",8,Protect,,X,,"There is no evidence of a capability to authorize, control and track technology assets entering and exiting organizational facilities. ","Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Users are trained and encouraged to stop and question anyone attempting to install or remove IT assets from facilities. ","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Physical entry points to facilities are monitored or staffed to identify personnel who bring in or remove IT assets into facilities. • Users are trained and encouraged to stop and question anyone attempting to install or remove IT assets from facilities.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to authorize, control and track technology assets entering and exiting organizational facilities. ",,,,,,,,,,,,,,,,,,,11.2.5 ,7.10,11.2.5 ,,6.8.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.DS-3,,,,,,,,,,,,,,F.11.3,,5.3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"D1.G.IT.E.3 D1.G.IT.E.2",,,,"164.310(d)(1) 164.310(d)(2)",5.S.C,5.M.D,"5.M.D 5.L.A",,,,,,,,,,5.8,,,,,,,,,,,,,,,,,622(2)(d)(C)(ii),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,OR 6464A,,,"R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,,R-AC-4,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Use of Personal Devices,AST-12,Mechanisms exist to restrict the possession and usage of personally-owned technology devices within organization-controlled facilities.,- BYOD policy,,Does the organization restrict the possession and usage of personally-owned technology devices within organization-controlled facilities?,10,Protect,,X,,There is no evidence of a capability to restrict the possession and usage of personally-owned technology devices within organization-controlled facilities.,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Organizational policies and standards cover the use of personal devices (e.g., Bring Your Own Device (BYOD), as part of acceptable and unacceptable behaviors.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Organizational policies and standards cover the use of personal devices (e.g., Bring Your Own Device (BYOD), as part of acceptable and unacceptable behaviors. • Mobile Device Management (MDM) software is used to restrict sensitive data from residing on personal devices.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the possession and usage of personally-owned technology devices within organization-controlled facilities.",,,,,,,,,,,,,,,,,,,,"7.10 8.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.18.a 3.1.18.b 3.1.18.c",,,,,,,,,,,,,,,,,,,M.3.26,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,10.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.6,,,,,,,,,,,,,TPC-84,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Use of Third-Party Devices,AST-13,Mechanisms exist to reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data.,"- NAC - Separate SSIDs for wireless networks - SIEM monitoring/alerting - Manual process to disable network all unused ports - Network Access Control (NAC) - Mobile Device Management (MDM) software - Data Loss Prevention (DLP)",,Does the organization reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data?,9,Protect,,X,,There is no evidence of a capability to reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data.,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Organizational policies and standards cover the use of third-party devices, as part of acceptable and unacceptable behaviors.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to reduce the risk associated with third-party assets that are attached to the network from harming organizational assets or exfiltrating organizational data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.18.a 3.1.18.b 3.1.18.c",,,,,,,,,,,,,,,,,,,N.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,10.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.6,,,,,,,,,,,,,TPC-84,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.2.3.C.01 16.2.3.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Usage Parameters,AST-14,"Mechanisms exist to monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters? ",7,Identify,,X,,"There is no evidence of a capability to monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters. ","SP-CMM1 is N/A, since a structured process is required to monitor and enforce usage parameters that limit the potential damage caused from the unauthorized or unintentional alteration of system parameters. ","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1114.003, T1613",,,,,,,,SC-43,,,,SC-43,,,,,SC-43,,,,,,,,,,,,,3.1.18.a,,,,,,,,,,,,,,,,,,,C.1.8,2.9,,,,,,"TM:SG2.SP2 TM:SG4.SP1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Bluetooth & Wireless Devices,AST-14.1,"Mechanisms exist to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.",,,"Does the organization prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building?",7,Protect,,X,X,"There is no evidence of a capability to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.","SP-CMM1 is N/A, since a structured process is required to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Organizational policies and standards cover enhanced security requirements for Bluetooth and wireless devices in sensitive/regulated areas.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Organizational policies and standards cover enhanced security requirements for Bluetooth and wireless devices in sensitive/regulated areas. • Periodic physical and local inspections are performed to prevent use of Bluetooth and wireless devices in sensitive/regulated areas or unless used in a Radio Frequency (RF)-screened building.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the usage of Bluetooth and wireless devices (e.g., Near Field Communications (NFC)) in sensitive areas or unless used in a Radio Frequency (RF)-screened building.",,,,,,,,,,,"SWS-01 SWS-03 SWS-05",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0233,,,,,,,,,,,,,,"11.1.8.C.01 11.1.10.C.01 11.1.10.C.02 11.1.10.C.03 11.1.11.C.01 11.1.11.C.02 11.1.12.C.01 11.1.13.C.01 21.1.16.C.01 21.1.16.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Infrared Communications,AST-14.2,Mechanisms exist to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.,,,Does the organization prevent line of sight and reflected infrared (IR) communications use in an unsecured space?,5,Protect,,X,X,There is no evidence of a capability to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.,"SP-CMM1 is N/A, since a structured process is required to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Organizational policies and standards cover requirements to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Organizational policies and standards cover requirements to prevent line of sight and reflected infrared (IR) communications use in an unsecured space. • Periodic physical and local inspections are performed to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent line of sight and reflected infrared (IR) communications use in an unsecured space.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,O.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.1.9.C.01 11.1.9.C.02 11.1.9.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Tamper Protection,AST-15,Mechanisms exist to verify logical configuration settings and the physical integrity of critical technology assets throughout their lifecycle.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Tamper detection tape - File Integrity Monitoring (FIM) - NNT Change Tracker (https://www.newnettechnologies.com) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)",,Does the organization verify logical configuration settings and the physical integrity of critical technology assets throughout their lifecycle?,6,Protect,X,X,X,There is no evidence of a capability to verify logical configuration settings and the physical integrity of critical technology assets throughout their lifecycle.,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,IOT-05,,,"CR 3.11 (7.13) EDR 3.11 (13.6.1) HDR 3.11 (14.6.1)",,,,,11.2.6,7.9,11.2.6,,,,,,,,,,,,,,SA-18,,,,"SR-9 SR-9(1)",,,,"SR-9 SR-9(1)",,,,,"SR-9 SR-9(1)",,SR-9,,,,SR-9,SR-9,,,,,,,,,,,9.5.1,,,9.5.1,9.5.1,9.5.1,,9.5.1,9.5.1,9.5.1,D.1.1,,,,,,,"KIM:SG2.SP2 TM:SG4.SP1",,,,,,,,,,,,,,,,,,,,,,"SR-9 SR-9(1)",,,"SR-9 SR-9(1)",,,,,,,,,,,,,,8-308,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,"Inspection of Systems, Components & Devices ",AST-15.1,Mechanisms exist to physically and logically inspect critical technology assets to detect evidence of tampering. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Tamper detection tape - File Integrity Monitoring (FIM) - NNT Change Tracker (https://www.newnettechnologies.com) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/)",,Does the organization physically and logically inspect critical technology assets to detect evidence of tampering? ,6,Detect,,X,X,There is no evidence of a capability to physically and logically inspect critical technology assets to detect evidence of tampering. ,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • IT personnel should provide a list of dos and do nots for using laptops and mobile devices in high threat countries.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Security awareness training covers reporting of unauthorized alterations and evidence of tampering. • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Asset Management (AST) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-18(2),,,,SR-10,,SR-10,SR-10,SR-10,,,SR-10,SR-10,SR-10,,SR-10,SR-10,SR-10,,SR-10,SR-10,,,,,,,,,,"9.1 9.1.1 9.9 9.9.1 9.9.2 9.9.3","9.5.1 9.5.1.2",,,"9.5.1 9.5.1.2","9.5.1 9.5.1.2","9.5.1 9.5.1.2",,"9.5.1 9.5.1.2","9.5.1 9.5.1.2","9.5.1 9.5.1.2",J.6.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SR-10,SR-10,SR-10,SR-10,SR-10,,,,,,,,,,SR-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Bring Your Own Device (BYOD) Usage ,AST-16,Mechanisms exist to implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace.,"- AirWatch - SCCM - Casper - BYOD policy",,Does the organization implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace?,10,Identify,,X,X,There is no evidence of a capability to implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace.,"Asset Management (AST) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • Asset inventories are performed in an ad hoc manner. • Software licensing is tracked as part of IT asset inventories. • Data process owners maintain limited network diagrams to document the flow of sensitive/regulated data that is specific to their initiative. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Administrative means (e.g., policies and standards) govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Administrative means (e.g., policies and standards) govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. • Mobile Device Management (MDM) software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization.","Asset Management (AST) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and govern a Bring Your Own Device (BYOD) program to reduce risk associated with personally-owned devices in the workplace.",,,,4.11,,4.11,4.11,,,UEM-14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.18.b 3.1.18.c",,,,,,,,,,,,,,,,,,,M.3.3.1,,,,,,,,,"5.5.6.1 5.5.6.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,10.S.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-5,,3.3.10,"2-6-1 2-6-2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.1.12.C.01 21.1.12.C.01 21.4.7.C.01 21.4.7.C.02 21.4.8.C.01 21.4.8.C.02 21.4.9.C.01 21.4.10.C.01 21.4.10.C.02 21.4.10.C.03 21.4.10.C.04 21.4.10.C.05 21.4.10.C.06 21.4.10.C.07 21.4.10.C.08 21.4.10.C.09 21.4.10.C.10 21.4.10.C.11 21.4.10.C.12 21.4.10.C.13 21.4.10.C.14 21.4.10.C.15 21.4.10.C.16 21.4.11.C.01 21.4.11.C.02 21.4.11.C.03 21.4.11.C.04 21.4.11.C.05 21.4.11.C.06 21.4.11.C.07 21.4.11.C.08 21.4.11.C.09 21.4.11.C.10 21.4.11.C.11 21.4.11.C.12 21.4.11.C.13 21.4.11.C.14 21.4.11.C.15 21.4.11.C.16 21.4.11.C.17 21.4.11.C.18 21.4.11.C.19 21.4.11.C.20 21.4.13.C.01 21.4.13.C.02 21.4.13.C.03 21.4.13.C.04 21.4.13.C.05 21.4.13.C.06 21.4.13.C.07 21.4.13.C.08 21.4.13.C.09 21.4.13.C.10 21.4.13.C.11 21.4.14.C.01 21.4.14.C.02 21.4.14.C.03 21.4.14.C.04",,,,,11.3.7,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,,,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Prohibited Equipment & Services,AST-17,Mechanisms exist to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/or equipment that are designated as supply chain threats by a statutory or regulatory body.,,E-AST-10,Does the organization govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/or equipment that are designated as supply chain threats by a statutory or regulatory body?,9,Protect,,X,X,There is no evidence of a capability to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.,"SP-CMM1 is N/A, since a structured process is required to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.","SP-CMM2 is N/A, since a well-defined process is required to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • An IT infrastructure team, or similar function, enforces sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body (e.g., removes prohibited assets and/ or services).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern Supply Chain Risk Management (SCRM) sanctions that require the removal and prohibition of certain technology services and/ or equipment that are designated as supply chain threats by a statutory or regulatory body.",,,,,,,,,,UEM-14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.4.5,,,,,,,,,,,,,,,,,,252.204-7018(b),,,52.204-27(b),"889(a)(1)(A) 889(a)(1)(B)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Asset Management,Roots of Trust Protection,AST-18,"Mechanisms exist to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.",,,"Does the organization provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification?",4,Protect,,X,X,"There is no evidence of a capability to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.","SP-CMM1 is N/A, since a structured process is required to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.","SP-CMM2 is N/A, since a well-defined process is required to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • A Supply Chain Risk Management (SCRM) program oversees supply chain risks, including “roots of trust” protections to ensure the chain of custody is intact to help ensure the likelihood of tampering or substitution is minimized.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provision and protect the confidentiality, integrity and authenticity of product supplier keys and data that can be used as a “roots of trust” basis for integrity verification.",,,,,,,,,,,,,,"EDR 3.13 (13.8.1(a)) HDR 3.12 (14.7.1) HDR 3.13 (14.8.1(a)) HDR 3.13 (14.8.1(b)) NDR 3.12 (15.9.1) NDR 3.13 (15.10.1(a))",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.14.1e,,,,,,,,,,,,,,,,M.3,,,,,,,,,,,,TBD - 3.14.1e,,,SI.L3-3.14.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 4 Principle 7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Telecommunications Equipment,AST-19,Mechanisms exist to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.,,,Does the organization establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping?,9,Protect,,X,X,There is no evidence of a capability to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.,"SP-CMM1 is N/A, since a structured process is required to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish usage restrictions and implementation guidance for telecommunication equipment to prevent potential damage or unauthorized modification and to prevent potential eavesdropping.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.9.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"TPC-13 TPC-14 TPC-15 TPC-16 TPC-17",,,,,,,,,,,,,,,,,,,,,,,0558,,,,,,,,,,,,,,"11.3.5.C.01 11.3.6.C.01 11.3.6.C.02 11.3.7.C.01 11.3.8.C.01 11.3.9.C.01 11.3.9.C.02 11.3.10.C.01 11.3.11.C.01 11.3.12.C.01 11.3.12.C.02 11.3.12.C.03 11.3.13.C.01 11.3.13.C.02 11.3.13.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Video Teleconference (VTC) Security,AST-20,"Mechanisms exist to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.",,,"Does the organization implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping?",8,Protect,,X,X,"There is no evidence of a capability to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.","SP-CMM1 is N/A, since a structured process is required to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement secure Video Teleconference (VTC) capabilities on endpoint devices and in designated conference rooms, to prevent potential eavesdropping.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0548 0554 0553 0555 0551 1014",,,,,,Article 26,,,,,,,,"18.3.14.C.01 18.3.14.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Voice Over Internet Protocol (VoIP) Security,AST-21,Mechanisms exist to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.,,,Does the organization implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks?,8,Protect,,,X,There is no evidence of a capability to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.,"SP-CMM1 is N/A, since a structured process is required to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement secure Internet Protocol Telephony (IPT) that logically or physically separates Voice Over Internet Protocol (VoIP) traffic from data networks.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.10.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1014 0549 0556",,,,,,,,,,,,,,"18.3.8.C.01 18.3.9.C.01 18.3.9.C.02 18.3.10.C.01 18.3.11.C.01 18.3.11.C.02 18.3.12.C.01 18.3.12.C.02 18.3.13.C.01 18.3.13.C.02 18.3.13.C.03 18.3.14.C.01 18.3.14.C.02 18.3.15.C.01 18.3.15.C.02 18.3.16.C.01 18.3.16.C.02 18.3.16.C.03 18.3.17.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Microphones & Web Cameras,AST-22,Mechanisms exist to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive/regulated information is discussed.,,,Does the organization configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive/regulated information is discussed?,8,Protect,,X,X,There is no evidence of a capability to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.,"SP-CMM1 is N/A, since a structured process is required to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure assets to prohibit the use of endpoint-based microphones and web cameras in secure areas or where sensitive information is discussed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0559 1450",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Multi-Function Devices (MFD),AST-23,Mechanisms exist to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.,,E-TPM-01,Does the organization securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device?,8,Protect,,,X,There is no evidence of a capability to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.,"SP-CMM1 is N/A, since a structured process is required to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely configure Multi-Function Devices (MFD) according to industry-recognized secure practices for the type of device.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0590 0245 0589 1036",,,,,,,,,,,,,,"11.2.3.C.01 11.2.4.C.01 11.2.4.C.02 11.2.5.C.01 11.2.6.C.01 11.2.7.C.01 11.2.7.C.02 11.2.8.C.01 11.2.9.C.01 11.2.10.C.01 11.2.11.C.01 11.2.11.C.02 11.2.11.C.03 11.2.11.C.04 11.2.11.C.05 11.2.12.C.01 11.2.12.C.02 11.2.13.C.01 11.2.13.C.02",,,,,11.5.1,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Travel-Only Devices,AST-24,"Mechanisms exist to issue personnel travelling overseas with temporary, loaner or ""travel-only"" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.",,,"Does the organization issue personnel travelling overseas with temporary, loaner or ""travel-only"" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies?",8,Protect,,X,X,"There is no evidence of a capability to issue personnel travelling overseas with temporary, loaner or ""travel-only"" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","SP-CMM1 is N/A, since a structured process is required to issue personnel travelling overseas with temporary, loaner or ""travel-only"" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","SP-CMM2 is N/A, since a well-defined process is required to issue personnel travelling overseas with temporary, loaner or ""travel-only"" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Organizational policies and standards cover requirements for users to secure laptops while traveling. • Organizational policies and standards cover the use of travel-only devices. • Security awareness training covers recommended practices for securing laptops and mobile devices while traveling. • ITAM reviews and documents provisioning and issuing fully-encrypted loaner devices for users traveling to any country listed as a Level 2, 3 or 4 on the US State Department's travel advisory site (https://travel.state.gov). • Users traveling to high threat countries use tamper-resistant tape to aid in detecting physical tampering and/ or use a specially hardened device besides their normal company issued device. • Cybersecurity personnel provide a list of dos and don’ts for using laptops and mobile devices in high threat countries. • Loaner devices are equipped with tamper-resistant tape to aid in detecting tampering.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to issue personnel travelling overseas with temporary, loaner or ""travel-only"" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to issue personnel travelling overseas with temporary, loaner or ""travel-only"" end user technology (e.g., laptops and mobile devices) when travelling to authoritarian countries with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.12.a 3.4.12.b",,A.03.04.12.a,,,,,,,,,,,,,,,,,M.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1298 1554 1555 1299 1088 1300 1556",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-6 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,,R-GV-6,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Re-Imaging Devices After Travel,AST-25,"Mechanisms exist to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.",,,"Does the organization re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies?",8,Protect,,X,X,"There is no evidence of a capability to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","SP-CMM1 is N/A, since a structured process is required to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","SP-CMM2 is N/A, since a well-defined process is required to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • ITAM reimages the devices prior to re-issue.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to re-image end user technology (e.g., laptops and mobile devices) when returning from overseas travel to an authoritarian country with a higher-than average risk for Intellectual Property (IP) theft or espionage against individuals and private companies.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.4.12.b,,A.03.04.12.b,,,,,,,,,,,,,,,,,M.3.4.8.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1300 1556",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-6 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,,R-GV-6,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,System Administrative Processes,AST-26,"Mechanisms exist to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.",,,"Does the organization develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services?",9,Identify,,X,,"There is no evidence of a capability to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.","SP-CMM1 is N/A, since a structured process is required to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • A Governance, Risk & Compliance (GRC) function, or similar function, enables the documentation of Standardized Operating Procedures (SOP), or similar mechanisms, at the business process-level to identify and document day-to-day procedures enabling the proper execution of assigned tasks.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop, implement and govern system administration processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining systems, applications and services.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.2.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0042 1380 1381",,,,,,,,,,,,,,"3.4.10.C.01 3.4.10.C.02 5.1.11.C.01 5.1.13.C.01 5.5.3.C.01 5.5.4.C.01 5.5.5.C.01 5.5.6.C.01 18.6.10.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Jump Server,AST-27,"Mechanisms exist to conduct remote system administrative functions via a ""jump box"" or ""jump server"" that is located in a separate network zone to user workstations.",,,"Does the organization conduct remote system administrative functions via a ""jump box"" or ""jump server"" that is located in a separate network zone to user workstations?",7,Protect,,X,X,"There is no evidence of a capability to conduct remote system administrative functions via a ""jump box"" or ""jump server"" that is located in a separate network zone to user workstations.","SP-CMM1 is N/A, since a structured process is required to conduct remote system administrative functions via a ""jump box"" or ""jump server"" that is located in a separate network zone to user workstations.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Sensitive/regulated data environments are configured to require jump boxes to meet contractual obligations and prevent unauthorized access.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Remote users are configured to use jump boxes as part of a Zero Trust Architecture (ZTA). • Server environments are configured to require jump boxes for remote maintenance purposes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct remote system administrative functions via a ""jump box"" or ""jump server"" that is located in a separate network zone to user workstations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct remote system administrative functions via a ""jump box"" or ""jump server"" that is located in a separate network zone to user workstations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.12.a 3.1.12.c",,,,,,,,,,,,,,,,,,,N.5.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-1-4,TPC-41,,,,,,,,,,,,,,,,,,,Principle 5.9,Principle 5.11,,,"1385 1387 1388",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Database Administrative Processes,AST-28,"Mechanisms exist to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.",,,"Does the organization develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases?",9,Identify,,X,,"There is no evidence of a capability to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.","SP-CMM1 is N/A, since a structured process is required to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop, implement and govern database management processes, with corresponding Standardized Operating Procedures (SOP), for operating and maintaining databases.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.3.6,6.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-2-1-8,,,,,,,,,,,,,,,,,,,,,,,,"1269 1277 1270 1271 1272 1273 1243 1256 0393 1255 1268 1274 1275 1276 1278",,,,,,,,,,,,,,"3.4.10.C.01 3.4.10.C.02 5.1.11.C.01 5.1.13.C.01 5.5.3.C.01 5.5.4.C.01 5.5.5.C.01 5.5.6.C.01 20.4.3.C.01 20.4.3.C.02 20.4.3.C.03 20.4.3.C.04 20.4.4.C.01 20.4.4.C.02 20.4.5.C.01 20.4.5.C.02 20.4.6.C.01 20.4.6.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Database Management System (DBMS),AST-28.1,"Mechanisms exist to implement and maintain Database Management Systems (DBMSs), where applicable.",,,"Does the organization implement and maintain Database Management Systems (DBMSs), where applicable?",6,Protect,,X,X,"There is no evidence of a capability to implement and maintain Database Management Systems (DBMSs), where applicable.","SP-CMM1 is N/A, since a structured process is required to implement and maintain Database Management Systems (DBMSs), where applicable.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Database administrators implement and maintain Database Management Systems (DBMSs), where applicable.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and maintain Database Management Systems (DBMSs), where applicable.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and maintain Database Management Systems (DBMSs), where applicable.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.1.3,6.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1245 1246 1247 1249 1250 1251 1260 1261 1262 1263 1264",,,,,,,,,,,,,,"20.4.3.C.01 20.4.3.C.02 20.4.3.C.03 20.4.3.C.04 20.4.4.C.01 20.4.4.C.02 20.4.5.C.01 20.4.5.C.02 20.4.6.C.01 20.4.6.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Radio Frequency Identification (RFID) Security,AST-29,Mechanisms exist to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.,,,Does the organization securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces?,3,Protect,,X,X,There is no evidence of a capability to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.,"SP-CMM1 is N/A, since a structured process is required to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely govern Radio Frequency Identification (RFID) deployments to ensure RFID is used safely and securely to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.6.59.C.01 11.6.59.C.02 11.6.60.C.01 11.6.60.C.02 11.6.60.C.03 11.6.60.C.04 11.6.61.C.01 11.6.61.C.02 11.6.62.C.01 11.6.62.C.02 11.6.62.C.03 11.6.63.C.01 11.6.63.C.02 11.6.64.C.01 11.6.65.C.01 11.6.65.C.02 11.6.65.C.03 11.6.66.C.01 11.6.67.C.01 11.6.67.C.02 11.6.68.C.01 11.6.69.C.01 11.6.70.C.01 11.6.71.C.01 11.6.72.C.01 11.6.72.C.02 11.6.72.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Contactless Access Control Systems,AST-29.1,Mechanisms exist to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.,,,Does the organization securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces?,3,Protect,,X,X,There is no evidence of a capability to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.,"SP-CMM1 is N/A, since a structured process is required to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely configure contactless access control systems incorporating contactless RFID or smart cards to protect the confidentiality and integrity of data and prevent the compromise of secure spaces.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.7.29.C.01 11.7.29.C.02 11.7.30.C.01 11.7.30.C.02 11.7.30.C.03 11.7.31.C.01 11.7.31.C.02 11.7.32.C.01 11.7.32.C.02 11.7.32.C.03 11.7.32.C.04 11.7.33.C.01 11.7.33.C.02 11.7.33.C.03 11.7.34.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Decommissioning,AST-30,"Mechanisms exist to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.",,,"Does the organization ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations?",4,Protect,,X,X,"There is no evidence of a capability to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","SP-CMM1 is N/A, since a structured process is required to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Asset decommissioning consists of mainly wiping hard drives.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Asset decommissioning is formalized to ensure that systems, applications and services are properly decommissioned and data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual requirements.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure systems, applications and services are properly decommissioned so that data is properly transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 1.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-6-1-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.1.5.P,,,"2.3.30.C.01 13.1.9.C.01 13.1.10.C.01 13.1.10.C.02 13.1.10.C.03 13.1.10.C.04 13.1.11.C.01 13.1.12.C.01 13.1.12.C.02 13.1.12.C.03 13.1.13.C.01 13.1.13.C.02 13.1.13.C.03 13.1.13.C.04 13.1.14.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Asset Categorization,AST-31,Mechanisms exist to categorize technology assets.,,E-AST-24,Does the organization categorize technology assets?,9,Identify,X,X,X,There is no evidence of a capability to categorize technology assets.,"SP-CMM1 is N/A, since a structured process is required to categorize technology assets.","Asset Management (AST) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for asset management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Asset management is formally assigned as an additional duty to existing IT/cybersecurity personnel. • Technology assets are categorized according to data classification and business criticality. • Inventories cover technology assets in scope for statutory, regulatory and/ or contractual compliance, which includes both physical and virtual assets. • Software licensing is tracked as part of IT asset inventories. • Users are educated on their responsibilities to protect technology assets assigned to them or under their supervision. • IT/cybersecurity personnel maintain network diagrams to document the flow of sensitive/regulated data across the network. • Data/process owners categorize data in accordance with organizational policies and standards.","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • Data/process owners categorize data in accordance with organizational policies and standards. • A data classification process exists to identify categories of data and specific protection requirements. • Administrative processes and technologies identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to categorize technology assets.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to categorize technology assets.",,,,,,,,,,,,,,,RQ-15-06,,,,,,,,,,,,,,,MAP 2.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A3.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Asset Management,Categorize Artificial Intelligence (AI)-Related Technologies,AST-31.1,Mechanisms exist to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).,,E-AST-24,Does the organization categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT)?,9,Identify,X,X,X,There is no evidence of a capability to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).,"SP-CMM1 is N/A, since a structured process is required to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).","SP-CMM2 is N/A, since a well-defined process is required to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).","Asset Management (AST) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, governs asset management to help ensure compliance with requirements for asset management. • An ITAM function, or similar function, maintains an inventory of IT assets, covering both physical and virtual assets, as well as centrally managed asset ownership assignments. • Technology assets and data are categorized according to data classification and business criticality criteria. • A Cybersecurity Supply Chain Risk Management (C-SCRM) function oversees supply chain risks including the removal and prevention of certain technology services and/ or equipment designated as supply chain threats by a statutory or regulatory body. • Data/process owners document where sensitive/regulated data is stored, transmitted and processed, generating Data Flow Diagrams (DFDs) and network diagrams to document the flow of data. • A data classification process exists to identify categories of data and specific protection requirements. • Administrative processes and technologies identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to categorize Artificial Intelligence (AI) and Autonomous Technologies (AAT).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MAP 2.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-9 NT-10 NT-11 NT-12 NT-13 MT-7 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,NT-9,NT-10,NT-11,NT-12,NT-13,,,,,,,,MT-7,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Business Continuity Management System (BCMS),BCD-01,"Mechanisms exist to facilitate the implementation of contingency planning controls to help ensure resilient assets and services (e.g., Continuity of Operations Plan (COOP) or Business Continuity & Disaster Recovery (BC/DR) playbooks).","- Business Continuity Plan (BCP) - Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP) - Business Impact Analysis (BIA) - Criticality assessments",E-BCM-01,"Does the organization facilitate the implementation of contingency planning controls to help ensure resilient assets and services (e.g., Continuity of Operations Plan (COOP) or Business Continuity & Disaster Recovery (BC/DR) playbooks)?",10,Recover,X,X,X,There is no evidence of a capability to facilitate the implementation of contingency planning controls to help ensure resilient assets and services.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • IT/cybersecurity personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Within the BCPs, alternate communications channels have been defined and alternative decision-makers are designated if primary decision-makers are unavailable. • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and security function objectives to determine prioritization of and authoritative guidance for Business Continuity & Disaster Recovery (BC/DR) practices, within the broader scope of cybersecurity and data protection operations. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization. This CONOPS for continuity of operations may be incorporated as part of a broader operational plan for the cybersecurity & data privacy program. • A Governance, Risk & Compliance (GRC) team, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. Compliance requirements for data backups are identified and documented. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including BC/DR and establishes a clear and authoritative accountability structure for BC/DR operations. • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • Within the BCPs, alternate communications channels have been defined and alternative decision-makers are designated if primary decision-makers are unavailable. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of contingency planning controls to help ensure resilient assets and services.","CC7.5 CC9.1","CC7.4-POF5 CC7.5-POF1 CC7.5-POF2 CC7.5-POF4 CC7.5-POF5 CC9.1-POF1 CC9.1-POF2 A1.2-POF1 A1.2-POF2 A1.2-POF3 A1.2-POF4 A1.2-POF5 A1.2-POF6",,"11.0 11.1",11.1,11.1,11.1,"DSS04.01 DSS04.02 DSS04.03 DSS04.04 DSS04.05 DSS04.06 DSS04.07 DSS04.08",,"BCR-01 BCR-03 BCR-04 BCR-05 BCR-07 BCR-09",GVN-03,"SO19 SO20",,,,"4.3 4.3.1 4.3.2 4.4 5.1 5.2 5.2.1 6.1 6.1.1 6.1.2 6.2 6.2.1 6.2.2 7.4 7.5.1 8.3 8.3.1 8.3.2 8.3.3 8.3.4 8.3.5 10.1 10.1.1 10.1.2 10.1.3 10.2",,,"17.1.1 17.1.2 ","5.29 5.30","17.1.1 17.1.2 ",,6.14.1.2,,,,"T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002","OR-1.2 OR-3.4 TS-1.5","Sec 4(D)(2)(b) Sec 4(D)(2)(i)",GOVERN 6.2,PR.PO-P7,,,,"CP-1 CP-2 IR-4(3) PM-8 CP-10","CP-1 CP-2 CP-10","CP-1 CP-2 CP-10","CP-1 CP-2 CP-10","CP-1 CP-2 IR-4(3) PM-8 CP-10",,"CP-1 CP-2 CP-10","CP-1 CP-2 CP-10","CP-1 CP-2 CP-10","IR-4(3) PM-8",,"CP-1 CP-2 CP-10","CP-1 CP-2 CP-10","CP-1 CP-2 CP-10",,"CP-1 CP-2 PM-8","CP-1 CP-2",,"CP-1 PM-8","CP-1 CP-2","CP-1 CP-2",,,,,,,"ID.BE-5 PR.IP-9 RC.RP-1","GV.OC-04 GV.OC-05 ID.IM-04 PR.IR-04 RC.RP-01 RC.RP-02 RC.RP-03 RC.RP-04 RC.RP-05 RC.RP-06 RC.CO-03 RC.CO-04",,,,,,,,,,,,,K.4,,3.1.2,,,,"RESPONSE-4.A.MIL1 RESPONSE-4.D.MIL2 RESPONSE-4.H.MIL2 RESPONSE-4.M.MIL3","EC:SG4.SP5 EF:SG2.SP1 RRM:SG1.SP3 RRM:SG1.SP4 SC:SG1.SP1 SC:SG2.SP1 SC:SG3.SP2 SC:SG3.SP3 SC:SG3.SP4 SC:SG7.SP2",,,,,,,,,"CP-1 CP-2 PM-8 CP-10",,,,,,,,"CP-1 CP-2 IR-4(3)","CP-1 CP-2 ","CP-1 CP-2 ","CP-1 CP-2 IR-4(3)","CP-1 CP-2 ","CP-1 CP-2","CP-1 CP-2","CP-1 CP-2","CP-1 CP-2","CP-1 CP-2",,D5.IR.Pl.B.6,,,,"164.308(a)(7)(ii)(B) 164.308(a)(7)(ii)(C) 164.310(b)",,,,"CP-1 CP-2 CP-10",,,"8-104 8-603 8-614",6.1,,,,,,"CP-1 CP-2 ","CP-1 CP-2 ","CP-1 CP-2 ",,,,,,,,,,,,,,,"38-99-20(D)(2)(b) 38-99-20(D)(2)(i)",,,"CP-1 CP-2 CP-10","CP-1 CP-2 CP-10","CP-1 CP-2 CP-10",,,,"3.7(77) 3.7.1(78) 3.7.1(79) 3.7.2(80) 3.7.2(81) 3.7.2(82) 3.7.3(83) 3.7.3(84)(a) 3.7.3(84)(b) 3.7.3(84)(c) 3.7.3(85) 3.7.3(86)","Art 11.1 Art 11.2 Art 11.2(a) Art 11.2(b) Art 11.2(c) Art 11.2(d) Art 11.2(e) Art 11.3 Art 11.4 Art 11.5 Art 11.6(a) Art 11.6(b) Art 11.7 Art 11.8 Art 11.9 Art 11.10 Art 11.11 Art 12.1 Art 12.1(a) Art 12.1(b)",,"Art 32.1 Art 32.2",Article 21.2(c),,,"Sec 14 Sec 15",Art 16,,,,,,"10.1 10.2 10.3 10.5","BCM-01 BCM-02 BCM-03",,,,"11.7 25.1",,,,,,,,,,,,"2-8 3-1 3-1-1-1 3-1-1-2","TPC-67 TPC-68 TPC-69",,"2-4-4 2-9-1 2-9-2 2-9-3 2-9-3-1 2-9-4 3-1-1 3-1-2 3-1-3 3-1-3-1 3-1-3-2 3-1-3-3 3-1-4","3-1 3-1-1 3-1-1-1 3-1-1-2 3-1-1-3 3-1-1-4 3-1-1-5 3-1-1-6 3-1-2",,,"Sec 19.1 Sec 19.2",,"7.5.1 [OP.CONT.1] 7.5.2 [OP.CONT.2]",,,,,"B5.a B5.b",D1,,,,,,,,,0734,,"12(b) 14 34(a) 34(b) 34(c) 34(d) 34(e) 40(a) 40(b) 40(c) 40(d) 40(e) 41",,,,,,,,,"17.1.1 17.1.2",,13.1,"6.4.5.C.01 6.4.7.C.01 6.4.8.C.01 23.4.12.C.01 23.4.12.C.02",,,,,"8.1.1 8.1.2 8.1.3 8.1.4 8.2.1 8.2.2 8.2.3 8.2.4 8.5.1 8.5.2 8.5.2(a) 8.5.2(b) 8.5.2(c)",,,,,,"6.14 7.1",,2.9,"2.9 2.9.1 2.9.2",,,,,,,,,,,x,NAIC,x,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Business Continuity & Disaster Recovery,Coordinate with Related Plans ,BCD-01.1,Mechanisms exist to coordinate contingency plan development with internal and external elements responsible for related plans. ,- Cybersecurity Incident Response Plan (IIRP),,Does the organization coordinate contingency plan development with internal and external elements responsible for related plans? ,5,Recover,,X,X,There is no evidence of a capability to coordinate contingency plan development with internal and external elements responsible for related plans. ,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate contingency plan development with internal and external elements responsible for related plans. ",,,,,,,,,,BCR-06,,,,,,,,,,"5.29 5.30",,,,,,,,TS-1.5,,,,,,,CP-2(1),,CP-2(1),CP-2(1),CP-2(1),,,CP-2(1),CP-2(1),,,,CP-2(1),CP-2(1),,CP-2(1),,,,CP-2(1),CP-2(1),,,,,,,,GV.SC-08,,,,,,,,,,,,,K.1.47,,,,,,,SC:SG4.SP2,,,,,,,,,CP-2(1),,,,,,,,CP-2(1) ,,CP-2(1) ,CP-2(1) ,,CP-2(1),,CP-2(1),CP-2(1),,,,,,,,,,,CP-2(1),,,,,,,,,,,,CP-2(1) ,,,,,,,,,,,,,,,,,,,,CP-2(1),,,,,,,,,,,,,,,,,,,,,,,25.2,,,,,,,,,,,,,,,3-1-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Coordinate With External Service Providers,BCD-01.2,Mechanisms exist to coordinate internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.,"- Business Continuity Plan (BCP) - Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP)",,Does the organization coordinate internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied?,5,Recover,,,X,There is no evidence of a capability to coordinate internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate internal contingency plans with the contingency plans of external service providers to ensure that contingency requirements can be satisfied.",,,,,,,,,,BCR-06,OPA-05,,,,,,,,,"5.29 5.30",,,,,,,,,,,,,,,CP-2(7),,,,CP-2(7),,,,,CP-2(7),,,,,,CP-2(7),,CP-2(7),,,CP-2(7),,,,,,,,"GV.OC-05 GV.SC-08",,,,,,,,,,,,,K.1.1,,,,,,,SC:SG4.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3-1-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.9,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Transfer to Alternate Processing / Storage Site,BCD-01.3,Mechanisms exist to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.,,,Does the organization redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan?,5,Recover,,X,,There is no evidence of a capability to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.,"SP-CMM1 is N/A, since a structured process is required to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.","SP-CMM2 is N/A, since a well-defined process is required to redeploy personnel toother roles during a disruptive event or in the execution of a continuity plan.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Human Resources (HR), Legal and Procurement departments implement and manage a formal process that enables business-critical personnel to be both redeployed to other roles during a disruptive event, but also appropriately supports the employee(s) throughout the role transition and back into the their original role when the disruptive event is over. • BC/DR function formally assigns business-critical roles that require redundancies and/ or cross training.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to redeploy personnel to other roles during a disruptive event or in the execution of a continuity plan.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-2(6),,,,CP-2(6),,,,,CP-2(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,K.1.7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.B.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Recovery Time / Point Objectives (RTO / RPO),BCD-01.4,Mechanisms exist to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).,,"E-BCM-02 E-BCM-03",Does the organization facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs)?,5,Recover,,X,,There is no evidence of a capability to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).,"SP-CMM1 is N/A, since a structured process is required to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","SP-CMM2 is N/A, since a well-defined process is required to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Recovery Time Objectives (RTOs) identify business-critical systems and services that are given priority of service in alternate processing and storage sites. • Technologies exist to conduct transaction-level recovery, in accordance with Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate recovery operations in accordance with Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).",,,,,,,,,,,,,,,,,,,,,,,,,,,,OR-3.4,,,,,,,"CP-6(2) CP-10",CP-10,CP-10,"CP-6(2) CP-10","CP-6(2) CP-10",,CP-10,CP-10,"CP-6(2) CP-10",,,CP-10,CP-10,"CP-6(2) CP-10",,,,,,,,,,,,,,,GV.OC-04,,,,,,,,,,,,,K.1.1,,,,,,RESPONSE-4.G.MIL2,,,,,,,,,,,,,,,,,,CP-6(2),,,CP-6(2),,CP-6(2),,,CP-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 12.6,,,,,,,,,,,,,,"OPS-06 OPS-08 OPS-09",,,,,,,,,,,,,,,,,,,2-9-3-2,,,,,,,,,,,B5.b,,,,,,,,,,1810,,"38(a) 38(b) 38(c) 39",,,,,,,,,,,,,,,,,"8.1.4 8.2.1",,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Identify Critical Assets ,BCD-02,"Mechanisms exist to identify and document the critical systems, applications and services that support essential missions and business functions.","- Business Impact Analysis (BIA) - Criticality assessments",E-BCM-08,"Does the organization identify and document the critical systems, applications and services that support essential missions and business functions?",9,Recover,,,X,"There is no evidence of a capability to identify and document the critical systems, applications and services that support essential missions and business functions.","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document the critical systems, applications and services that support essential missions and business functions.",CC7.5,,,,,,,,,,SET-01,SO20,,,,,,,,,,,,,,,,OR-1.2,,,ID.BE-P3,,P-8,,CP-2(8),,CP-2(8),CP-2(8),CP-2(8),,,CP-2(8),CP-2(8),,,,CP-2(8),CP-2(8),,CP-2(8),,,,,CP-2(8),,,,,,,"ID.AM-5 ID.BE-5",GV.OC-04,,,,,,,,,,,,,K.8.1,,,,,,"ASSET-1.C.MIL2 ASSET-2.C.MIL2 RESPONSE-4.E.MIL2","EC:SG1.SP1 EC:SG4.SP5 SC:SG7.SP1",,,,,,,,,CP-2(8),,,,,,,,CP-2(8) ,,CP-2(8) ,CP-2(8) ,,CP-2(8),,CP-2(8),CP-2(8),,,,,,,164.308(a)(7)(ii)(E),,,,CP-2(8),,"CIP-002-5.1a R1 & R2",,,,,,,,,CP-2(8) ,CP-2(8) ,,,,,,,,,,,,,,,,,,,,CP-2(8),,,,"3.7.1(78) 3.7.3(83)",Art 8.4,,,,,,,,,,,,,12.2,BCM-02,,,,,,,,,,,,,,,,"2-8-1-1 3-1-1-2",TPC-24,,2-9-3-2,2-1-1-5,,,,,,,,,,B5.b,A4,,,,,,,,,,,"34(a) 35 36(a) 36(b) 36(c) 36(d) 37",21(b),,,,,,,,,,,,,,,,8.1.2,,,,,,,,,"2.9.2 3.2.3",,,,,,,,,,,x,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Resume All Missions & Business Functions,BCD-02.1,Mechanisms exist to resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation.,"- Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP) - Disaster recovery software",,Does the organization resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation?,8,Recover,,X,,There is no evidence of a capability to resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to resume all missions and business functions within Recovery Time Objectives (RTOs) of the contingency plan's activation.",CC7.5,,,,,,,,,BCR-03,,,,,,,,,,,,,,,,,,OR-1.2,,,,,,,CP-2(4),,,CP-2(4),CP-2(3),,,CP-2(3),CP-2(3),,,,CP-2(3),CP-2(3),,,,,,,,,,,,,,,GV.OC-05,,,,,,,,,,,,,K.1.1,,,,,,"RESPONSE-4.E.MIL2 RESPONSE-4.F.MIL2",SC:SG6.SP1,,,,,,,,,,,,,,,,,CP-2(4),,,CP-2(4),,,,,,,,,,,,,,,,CP-2(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"21.15 21.16",,,,,,,,,,,,,,,2-9-3-2,,,,,,,,,,,B5.b,,,,,,,,,,,,34(e),,,,,,,,,,,,,,,,,,,,,,,,,2.9,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Continue Essential Mission & Business Functions,BCD-02.2,Mechanisms exist to continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/or storage sites.,"- Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP)",,Does the organization continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/or storage sites?,8,Recover,,X,,There is no evidence of a capability to continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/ or storage sites.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to continue essential missions and business functions with little or no loss of operational continuity and sustain that continuity until full system restoration at primary processing and/ or storage sites.",CC7.5,,,,,,,,,BCR-03,OPA-05,,,,,,,,,,,,,,,,,OR-1.2,,,,,,,CP-2(5),,,CP-2(5),CP-2(5),,,,CP-2(5),,,,,CP-2(5),,,,,,,,,,,,,,,"GV.OC-05 RC.RP-04",,,,,,,,,,,,,K.4,,,,,,"RESPONSE-4.E.MIL2 RESPONSE-4.F.MIL2",SC:SG6.SP1,,,,,,,,,,,,,,,,,CP-2(5),,,CP-2(5),,CP-2(5),,,CP-2(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.15 25.23",,,,,,,,,,,,,,,2-9-3-2,,,,,,,,,,,B5.b,,,,,,,,,,,,34(e),,,,,,,,,,,,,,,,,,,,,,,,,2.9,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Resume Essential Missions & Business Functions ,BCD-02.3,Mechanisms exist to resume essential missions and business functions within an organization-defined time period of contingency plan activation. ,"- Business Continuity Plan (BCP) - Disaster Recovery Plan (DRP) - Continuity of Operations Plan (COOP)",,Does the organization resume essential missions and business functions within an organization-defined time period of contingency plan activation? ,8,Recover,,X,,There is no evidence of a capability to resume essential missions and business functions within an organization-defined time period of contingency plan activation. ,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to resume essential missions and business functions within an organization-defined time period of contingency plan activation. ",CC7.5,,,,,,,,,BCR-03,,,,,,,,,,,,,,,,,,OR-1.2,,,,,,,CP-2(3),,CP-2(3),CP-2(3),CP-2(3),,,CP-2(3),CP-2(3),,,,CP-2(3),CP-2(3),,,,,,,,,,,,,,,"GV.OC-05 RC.RP-04",,,,,,,,,,,,,K.2.1,,,,,,"RESPONSE-4.E.MIL2 RESPONSE-4.F.MIL2",SC:SG6.SP1,,,,,,,,,CP-2(3),,,,,,,,CP-2(3) ,,CP-2(3) ,CP-2(3) ,,CP-2(3),,CP-2(3),CP-2(3),,,,,,,,,,,,,"CIP-009-6 R1",,,,,,,,,,CP-2(3) ,,,,,,,,,,,,,,,,,,,,CP-2(3),,,,,,,,,,,,,,,,,,,,,,,"21.15 21.16",,,,,,,,,,,,,,,2-9-3-2,,,,,,,,,,,B5.b,,,,,,,,,,,,34(e),,,,,,,,,,,,,,,,,,,,,,,,,2.9,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Data Storage Location Reviews,BCD-02.4,Mechanisms exist to perform periodic security reviews of storage locations that contain sensitive / regulated data.,,E-AST-23,Does the organization perform periodic security reviews of storage locations that contain sensitive / regulated data?,8,Recover,,X,,There is no evidence of a capability to perform periodic security reviews of storage locations that contain sensitive / regulated data.,"SP-CMM1 is N/A, since a structured process is required to perform periodic security reviews of storage locations that contain sensitive / regulated data.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, BC/DR personnel conduct security reviews of storage locations containing sensitive/regulated data.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, BC/DR personnel conduct security reviews of storage locations to ensure that sensitive/regulated data is both physically and logically protected.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform periodic security reviews of storage locations that contain sensitive / regulated data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform periodic security reviews of storage locations that contain sensitive / regulated data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.4.1.2,,,,,,,9.4.1.2,9.4.1.2,,F.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Contingency Training,BCD-03,Mechanisms exist to adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities. ,"- NIST NICE Framework - Tabletop exercises",E-BCM-07,Does the organization adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities? ,5,Recover,,X,X,There is no evidence of a capability to adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities. ,"SP-CMM1 is N/A, since a structured process is required to adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities. ","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • BC/DR function formally assigns business-critical roles that require redundancies and/ or cross training.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to adequately train contingency personnel and applicable stakeholders in their contingency roles and responsibilities. ",,,,,,,,DSS04.06,,BCR-06,,,,,,,,,,,,,,,,,,,,,,,,,CP-3,CP-3,CP-3,CP-3,CP-3,,CP-3,CP-3,CP-3,,,CP-3,CP-3,CP-3,,CP-3,CP-3,CP-3,,CP-3,CP-3,,,,,,,PR.IP-10,,,,,,,,,,,,,,E.1.14.3,,,,,,,"SC:SG3.SP5 SC:SG5.SP3",,,,,,,,,CP-3,,,,,,,,CP-3 ,CP-3 ,CP-3 ,CP-3 ,CP-3 ,CP-3,CP-3,CP-3,CP-3,CP-3,,,,,,,,,,CP-3,,,8-615,,,,,,,CP-3 ,CP-3 ,CP-3 ,,,,,,,,,,,,,,,,,,CP-3,CP-3,CP-3,,,,,,,,,,,,,,,,,,,,,,,25.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-EX-2 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,,R-EX-2,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Simulated Events,BCD-03.1,Mechanisms exist to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.,- Tabletop exercises,E-BCM-06,Does the organization incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations?,3,Recover,,X,X,There is no evidence of a capability to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.,"SP-CMM1 is N/A, since a structured process is required to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.","SP-CMM2 is N/A, since a well-defined process is required to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • BC/DR personnel conduct simulated incidents to validate the viability BC/DR plans, in conjunction with stakeholders.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to incorporate simulated events into contingency training to facilitate effective response by personnel in crisis situations.",A1.3,,,,,,,,,BCR-06,,,,,,,,,,,,,,,,,,,,,,,,,CP-3(1),,,CP-3(1),CP-3(1),,,,CP-3(1),,,,,CP-3(1),,CP-3(1),,,,CP-3(1),CP-3(1),,,,,,,,,,,,,,,,,,,,,K.2.9,,,,,,RESPONSE-4.N.MIL3,SC:SG4.SP1,,,,,,,,,,,,,,,,,CP-3(1),,,CP-3(1),,CP-3(1),,,CP-3(1),,,,,,,164.308(a)(7)(ii)(D),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"25.4 25.5",,,,,,,,,,,,3-1-1-4,,,,3-1-1-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.8,,,,,,,,,,,,,,,x,"R-AM-3 R-EX-2 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,,R-EX-2,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Automated Training Environments,BCD-03.2,Automated mechanisms exist to provide a more thorough and realistic contingency training environment.,,,Does the organization use automated mechanisms to provide a more thorough and realistic contingency training environment?,1,Recover,,X,X,There is no evidence of a capability to provide a more thorough and realistic contingency training environment.,"SP-CMM1 is N/A, since a structured process is required to provide a more thorough and realistic contingency training environment.","SP-CMM2 is N/A, since a well-defined process is required to provide a more thorough and realistic contingency training environment.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Automated mechanisms are used to conduct simulated incidents to validate the viability disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide a more thorough and realistic contingency training environment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide a more thorough and realistic contingency training environment.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-3(2),,,,CP-3(2),,,,,CP-3(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,K.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,25.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Business Continuity & Disaster Recovery,Contingency Plan Testing & Exercises ,BCD-04,Mechanisms exist to conduct tests and/or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan. ,- Simulated disasters / emergencies,"E-BCM-06 E-BCM-07",Does the organization conduct tests and/or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan? ,6,Recover,,X,X,There is no evidence of a capability to conduct tests and/ or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan. ,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, IT/cybersecurity personnel conduct tabletop exercises to validate disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, BC/DR personnel conduct real-world exercises to validate the viability of disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct tests and/ or exercises to evaluate the contingency plan's effectiveness and the organization’s readiness to execute the plan. ","CC7.5 A1.3","CC7.5-POF6 A1.3-POF1 A1.3-POF2",,,,,,DSS04.04,,"BCR-06 BCR-10",,SO22,,,,"8.5 8.6",,,17.1.3 ,"5.29 5.30",17.1.3 ,,6.14.1.3,,,,,,,,PR.PO-P8,,,,CP-4,CP-4,CP-4,CP-4,CP-4,,CP-4,CP-4,CP-4,,,CP-4,CP-4,CP-4,,CP-4,CP-4,,,CP-4,CP-4,,,,,,,,,,,,,,,,,,,,,K.9.3,,,,,,"RESPONSE-4.I.MIL2 RESPONSE-4.N.MIL3","COMM:SG3.SP2 SC:SG4.SP1 SC:SG5.SP1 SC:SG5.SP2 SC:SG5.SP3 SC:SG5.SP4",,,,,,,,,CP-4,,,,,,,,CP-4 ,CP-4 ,CP-4 ,CP-4 ,CP-4 ,CP-4,CP-4,CP-4,CP-4,CP-4,,,,,,164.308(a)(7)(ii)(D),,,,CP-4,,"CIP-009-6 R2",8-615,,,,,,,CP-4 ,CP-4 ,CP-4 ,,,,,,,,,,,,,,,,,,CP-4,CP-4,CP-4,,,,"3.7.4(87) 3.7.4(89) 3.7.4(89)(a) 3.7.4(89)(b) 3.7.4(89)(c) 3.7.4(90)","Art 11.4 Art 11.6(a) Art 11.6(b) Art 24.1 Art 24.2 Art 24.3 Art 24.4 Art 24.5 Art 24.6",,,,,,,,,,,,,10.4,"PS-02 PS-06 BCM-04",,,,"25.4 25.6 25.7 25.9 25.23",,,,,,,,,,,,,TPC-70,,,3-1-1-6,,,,,7.5.3 [OP.CONT.3],,,,,,,,,,,,,,,,,"43 44 45 46",,,,,,,,,17.1.3,,,,,,,,"8.2.3 8.3.1 8.3.2 8.3.3(a) 8.3.3(b) 8.3.4",,,,,,,,2.8,2.9.3,,,,,,,,,,,x,,,x,"R-AM-3 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Coordinated Testing with Related Plans ,BCD-04.1,Mechanisms exist to coordinate contingency plan testing with internal and external elements responsible for related plans. ,"- Playbooks - Enterprise-wide Continuity of Operations Plan (COOP)",,Does the organization coordinate contingency plan testing with internal and external elements responsible for related plans? ,3,Recover,,X,,There is no evidence of a capability to coordinate contingency plan testing with internal and external elements responsible for related plans. ,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate contingency plan testing with internal and external elements responsible for related plans. ",,,,,,,,,,,,SO22,,,,"8.5 8.6",,,,,,,,,,,,,,,PR.PO-P8,,,,CP-4(1),,CP-4(1),CP-4(1),CP-4(1),,,CP-4(1),CP-4(1),,,,CP-4(1),CP-4(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.9.2,,,,,,RESPONSE-4.N.MIL3,,,,,,,,,,CP-4(1),,,,,,,,CP-4(1) ,,CP-4(1) ,CP-4(1) ,,CP-4(1),,CP-4(1),CP-4(1),,,,,,,,,,,CP-4(1),,,,,,,,,,,,CP-4(1) ,,,,,,,,,,,,,,,,,,,,CP-4(1),,,,,,,,,,,,,,,,,,,,,,,"25.6 25.7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.3.4,,,,,,,,2.8,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Alternate Storage & Processing Sites,BCD-04.2,Mechanisms exist to test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations. ,,,Does the organization test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations? ,5,Recover,,X,,There is no evidence of a capability to test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations. ,"SP-CMM1 is N/A, since a structured process is required to test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations. ","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, IT/cybersecurity personnel conduct tabletop exercises to validate disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, BC/DR personnel conduct real-world exercises to validate the viability of disaster recovery and contingency plans, in conjunction with stakeholders and any required vendors.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to test contingency plans at alternate storage & processing sites to both familiarize contingency personnel with the facility and evaluate the capabilities of the alternate processing site to support contingency operations. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-4(2),,,CP-4(2),CP-4(2),,,,CP-4(2),,,,,CP-4(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.9.6,,,,,,,,,,,,,,,,,,,,,,,,CP-4(2),,,CP-4(2),,CP-4(2),,,CP-4(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3-1-1-1,,,,,,,,,,,,,,B5.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.4,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Contingency Plan Root Cause Analysis (RCA) & Lessons Learned,BCD-05,"Mechanisms exist to conduct a Root Cause Analysis (RCA) and ""lessons learned"" activity every time the contingency plan is activated.","- Standardized Operating Procedures (SOP) - Disaster Recovery Plan (DRP) - Business Continuity Plan (BCP) - Continuity of Operations Plan (COOP)",E-BCM-04,"Does the organization conduct a Root Cause Analysis (RCA) and ""lessons learned"" activity every time the contingency plan is activated?",9,Detect,,X,X,"There is no evidence of a capability to conduct a Root Cause Analysis (RCA) and ""lessons learned"" activity every time the contingency plan is activated.","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • Informal Root Cause Analysis (RCA) are performed to address insufficiencies in existing processes to prevent reoccurrences.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • A formal Root Cause Analysis (RCA) is performed that documents the findings in a report for both technical and business leadership management.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A formal Root Cause Analysis (RCA) is performed to document the findings in a report for both technical and business leadership management. • Findings from RCA are submitted to a risk register, or similar tracking mechanism and assigned owners for remediation.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct a Root Cause Analysis (RCA) and ""lessons learned"" activity every time the contingency plan is activated.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct a Root Cause Analysis (RCA) and ""lessons learned"" activity every time the contingency plan is activated.",CC7.5,"CC7.4-POF10 CC7.5-POF3",,,,,,DSS04.08,,,,"SO20 SO22",,,,,,,,,,,,,,,,,,,,,,,CP-4,CP-4,CP-4,CP-4,CP-4,,CP-4,CP-4,CP-4,,,CP-4,CP-4,CP-4,,CP-4,CP-4,,,CP-4,CP-4,,,,,,,RC.IM-1,ID.IM-03,,,,,,,,,,,,,J.2.6,,,,,,RESPONSE-4.O.MIL3,"COMM:SG3.SP2 SC:SG5.SP2 SC:SG5.SP3 SC:SG5.SP4 SC:SG6.SP2",,,,,,,,,CP-4,,,,,,,,CP-4 ,CP-4 ,CP-4 ,CP-4 ,CP-4 ,CP-4,CP-4,CP-4,CP-4,CP-4,,D5.IR.Pl.Int.4,,,,,,,,CP-4,,,8-615,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-4,CP-4,CP-4,,,,"3.7.4(88) 3.7.4(90)","Art 13.2 Art 13.2(a) Art 13.2(b) Art 13.2(c) Art 13.2(d) Art 13.3",,,,,,,,,,,,,,BCM-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D2.a,D2,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7.8.1 7.8.2 7.8.3",,,,,,,,5.9,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Contingency Planning & Updates,BCD-06,"Mechanisms exist to keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities.",- Offline / offsite documentation,E-BCM-05,"Does the organization keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities?",8,Recover,,X,X,"There is no evidence of a capability to keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities.","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel work with business stakeholders to identify alternative or compensating controls to address control deficiencies, if the primary means of implementing the security function is unavailable or compromised.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • on at least an annual basis, or after any major technology or process change, the data/process owner updates the data mapping documentation.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • on at least an annual basis, or after any major technology or process change, the data/process owner updates the data mapping documentation.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to keep contingency plans current with business needs, technology changes and feedback from contingency plan testing activities.",CC7.5,"CC7.5-POF4 CC7.5-POF5",,,,,,DSS04.05,,BCR-05,,"SO19 SO20 ",,,,"6.3 7.5 7.5.1 7.5.3 7.5.3.1 7.5.3.2 8.4 8.4.1 8.4.2 8.4.2.1 8.4.2.2 8.4.4 8.4.4.1 8.4.4.2 8.4.4.3 8.4.5 8.6 10.1 10.1.1 10.1.2 10.1.3 10.2",,,,,,,,,,,,,,,,,,,CP-2,CP-2,CP-2,CP-2,CP-2,,CP-2,CP-2,CP-2,,,CP-2,CP-2,CP-2,,CP-2,CP-2,,,CP-2,CP-2,,,,,,,RC.IM-2,,,,,,,,,,,,,,K.1.3,,,,,,RESPONSE-4.P.MIL3,"SC:SG2.SP1 SC:SG3.SP2 SC:SG3.SP3 SC:SG7.SP2",,,,,,,,,CP-2,,,,,,,,CP-2,CP-2,CP-2,CP-2,CP-2,CP-2,CP-2,CP-2,CP-2,CP-2,,"D5.IR.Pl.Int.4 D5.IR.Te.Int.5",,,,,,,,CP-2,,"CIP-009-6 R3",8-614,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-2,CP-2,CP-2,,,,"3.7.4(88) 3.7.4(90)",,,,,,,,,,,,,,,BCM-04,,,,,,,,,,,,,,,,,,,3-1-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Alternative Security Measures ,BCD-07,Mechanisms exist to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised. ,"- Business Impact Analysis (BIA) - Criticality assessments",,Does the organization implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised? ,9,Protect,,X,X,There is no evidence of a capability to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised. ,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel work with business stakeholders to identify alternative or compensating controls to address control deficiencies, if the primary means of implementing the security function is unavailable or compromised.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement alternative or compensating controls to satisfy security functions when the primary means of implementing the security function is unavailable or compromised. ",CC9.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-13,,,,CP-13,,,,,CP-13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"K.3.3 ",,,,,,,"EC:SG2.SP2 SC:SG1.SP1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8-605 8-607 8-610",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1518,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-5 R-EX-6 R-EX-7 R-GV-2 R-IR-3",,,,,,,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,R-EX-5,R-EX-6,R-EX-7,,R-GV-2,,,,,,,,,R-IR-3,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Alternate Storage Site,BCD-08,Mechanisms exist to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information. ,"- SunGard - AWS - Azure",,Does the organization establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information? ,9,Protect,,X,X,There is no evidence of a capability to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information. ,"SP-CMM1 is N/A, since a structured process is required to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information. ","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • the organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).Roles and responsibilities are formally assigned to restore the primary site in the event of a catastrophe, emergency, or similar-type disruptive incident in accordance with the Continuity of Operations (COOP) plan. • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • A dedicated alternate site is identified, documented, equipped to match the processing capabilities of the primary site and not used for existing production activities . • IT personnel maintain network connectivity for data communications from the alternate site toother business critical locations in order to support business processes. • IT personnel maintain redundant network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes. • IT personnel maintain technologies compatible with existing network and infrastructure configuration. the organization either owns the facility or contracts with a third-party provider for off-site storage.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel configure business-critical systems to transfer backup data to an alternate site at a rate that is capable of meeting RTOs and RPOs. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance). • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • Data centers have alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. • Dedicated alternate storage and/ or processing sites are identified and documented. • IT personnel maintain network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an alternate storage site that includes both the assets and necessary agreements to permit the storage and recovery of system backup information. ",A1.2,A1.2-POF9,,,,,,,,,,,,,,,,,17.2.1 ,8.14,17.2.1 ,,"6.14.1.3 6.14.2 6.14.2.1",,,,"T1070, T1070.001, T1070.002, T1119, T1486, T1565, T1565.001",,,,,,,,CP-6,,CP-6,CP-6,"CP-6 PE-23",,,CP-6,CP-6,PE-23,,,CP-6,CP-6,,CP-6,,,,CP-6,CP-6,,,,,,,,,,,,,,,,,,,,,"K.3.3 ",,,,,,,EC:SG4.SP1,,,,,,,,,CP-6,,,,,,,,CP-6 ,,CP-6 ,CP-6 ,,CP-6,,CP-6,CP-6,,,,,,,164.310(a)(2)(i),,,,"2.B.7 2.B.7.1 2.B.7.2 2.B.7.3",,,8-603,,,,,,,,CP-6 ,CP-6 ,,,,,,,,,,,,,,,,,,CP-6,,CP-6,,,,,,,,,,,,,,,,,,10.5,PSS-12,,,,"11.7 25.7 25.10",,,,,,,,,,,,3-1-1-1,,,,,,,,,"8.1.8 [MP.IF.8] 8.3.4 [MP.EQ.4] 8.4.4 [MP.COM.4] 8.8.4 [MP.S.4]",,,,,B5.b,,,,,,,,,,,,,,,,,,,,,17.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-IR-4",,,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Separation from Primary Site ,BCD-08.1,Mechanisms exist to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.,"- SunGard - AWS - Azure",,Does the organization separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats?,7,Protect,,X,X,There is no evidence of a capability to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.,"SP-CMM1 is N/A, since a structured process is required to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to separate the alternate storage site from the primary storage site to reduce susceptibility to similar threats.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-6(1),,CP-6(1),CP-6(1),CP-6(1),,,CP-6(1),CP-6(1),,,,CP-6(1),CP-6(1),,CP-6(1),,,,CP-6(1),CP-6(1),,,,,,,,,,,,,,,,,,,,,K.8.2,,,,,,,,,,,,,,,,CP-6(1),,,,,,,,CP-6(1) ,,CP-6(1) ,CP-6(1) ,,CP-6(1),,CP-6(1),CP-6(1),,,,,,,,,,,,,,,,,,,,,,,CP-6(1) ,,,,,,,,,,,,,,,,,,,,CP-6(1),,,,,,,,,,,,,,,,,,,OPS-09,,,,25.11,,,,,,,,,,,,,,,,,,,,,,,,,,B5.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Accessibility ,BCD-08.2,Mechanisms exist to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.,"- SunGard - AWS - Azure",,Does the organization identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster?,5,Protect,,X,,There is no evidence of a capability to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.,"SP-CMM1 is N/A, since a structured process is required to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and mitigate potential accessibility problems to the alternate storage site in the event of an area-wide disruption or disaster.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-6(3),,CP-6(3),CP-6(3),CP-6(3),,,CP-6(3),CP-6(3),,,,CP-6(3),CP-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.8.1,,,,,,,,,,,,,,,,CP-6(3),,,,,,,,CP-6(3) ,,CP-6(3) ,CP-6(3) ,,CP-6(3),,CP-6(3),CP-6(3),,,,,,,,,,,,,,,,,,,,,,,CP-6(3) ,,,,,,,,,,,,,,,,,,,,CP-6(3),,,,,,,,,,,,,,,,,,,,,,,25.13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,R-AC-4,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Alternate Processing Site,BCD-09,Mechanisms exist to establish an alternate processing site that provides security measures equivalent to that of the primary site.,"- SunGard - AWS - Azure",,Does the organization establish an alternate processing site that provides security measures equivalent to that of the primary site?,9,Protect,,X,X,There is no evidence of a capability to establish an alternate processing site that provides security measures equivalent to that of the primary site.,"SP-CMM1 is N/A, since a structured process is required to establish an alternate processing site that provides security measures equivalent to that of the primary site.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • the organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).Roles and responsibilities are formally assigned to restore the primary site in the event of a catastrophe, emergency, or similar-type disruptive incident in accordance with the Continuity of Operations (COOP) plan. • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • A dedicated alternate site is identified, documented, equipped to match the processing capabilities of the primary site and not used for existing production activities . • IT personnel maintain network connectivity for data communications from the alternate site toother business critical locations in order to support business processes. • IT personnel maintain redundant network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes. • IT personnel maintain technologies compatible with existing network and infrastructure configuration. the organization either owns the facility or contracts with a third-party provider for off-site storage.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel configure business-critical systems to transfer backup data to an alternate site at a rate that is capable of meeting RTOs and RPOs. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance). • IT personnel backup copies of business-critical software, licenses/keys and other security-related information to the alternate site. • IT personnel configure business-critical systems to be able to failover to an alternate location than the primary system which can be activated without loss of information or disruption to operations. • Data centers have alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. • Dedicated alternate storage and/ or processing sites are identified and documented. • IT personnel maintain network connectivity from the alternate site to the business locations providing the ability for data communications to support business processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish an alternate processing site that provides security measures equivalent to that of the primary site.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an alternate processing site that provides security measures equivalent to that of the primary site.",A1.2,A1.2-POF10,,,,,,,,,,,,,,,,,17.2.1 ,8.14,17.2.1 ,,"6.14 6.14.1 6.14.1.1",,,,"T1070, T1070.001, T1070.002, T1119, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002, T1565, T1565.001",,,,,,,,CP-7,,CP-7,CP-7,"CP-7 PE-23",,,CP-7,CP-7,PE-23,,,CP-7,CP-7,,CP-7,,,,CP-7,CP-7,,,,,,,,,,,,,,,,,,,,,K.1.4,,,,,,,EC:SG4.SP1,,,,,,,,,CP-7,,,,,,,,CP-7 ,,CP-7 ,CP-7 ,,CP-7,,CP-7,CP-7,,,,,,,164.310(a)(2)(i),,,,"2.B.7 2.B.7.1 2.B.7.2 2.B.7.3",,,8-603,,,,,,,,CP-7 ,CP-7 ,,,,,,,,,,,,,,,,,,,,CP-7,,,,,"Art 12.5 Art 12.5(a) Art 12.5(b) Art 12.5(c)",,,,,,,,,,,,,10.5,PSS-12,,,,"11.7 25.7 25.10",,,,,,,,,,,,3-1-1-1,,,,,,,,,"8.1.8 [MP.IF.8] 8.3.4 [MP.EQ.4] 8.8.4 [MP.S.4]",,,,,B5.b,,,,,,,,,,,,,,,,,,,,,17.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-IR-4",,,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Separation from Primary Site,BCD-09.1,Mechanisms exist to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.,"- SunGard - AWS - Azure",,Does the organization separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats?,7,Protect,,X,,There is no evidence of a capability to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.,"SP-CMM1 is N/A, since a structured process is required to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • organization acquires space to serve as the alternate site that is in a different geographic zone from the inaccessible facility (e.g., dedicated facility or cloud instance).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to separate the alternate processing site from the primary processing site to reduce susceptibility to similar threats.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-7(1),,CP-7(1),CP-7(1),CP-7(1),,,CP-7(1),CP-7(1),,,,CP-7(1),CP-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.8.2,,,,,,,,,,,,,,,,CP-7(1),,,,,,,,CP-7(1) ,,CP-7(1) ,CP-7(1) ,,CP-7(1),,CP-7(1),CP-7(1),,,,,,,,,,,,,,,,,,,,,,,CP-7(1) ,,,,,,,,,,,,,,,,,,,,CP-7(1),,,,,Art 12.5(a),,,,,,,,,,,,,,OPS-09,,,,25.11,,,,,,,,,,,,,,,,,,,,,,,,,,B5.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Accessibility,BCD-09.2,"Mechanisms exist to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.","- Business Continuity Plan (BCP) - Continuity of Operations Plan (COOP)",,"Does the organization identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster?",5,Recover,,X,,"There is no evidence of a capability to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.","SP-CMM1 is N/A, since a structured process is required to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and mitigate potential accessibility problems to the alternate processing site and possible mitigation actions, in the event of an area-wide disruption or disaster.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-7(2),,CP-7(2),CP-7(2),CP-7(2),,,CP-7(2),CP-7(2),,,,CP-7(2),CP-7(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.14.2.1,,,,,,,,,,,,,,,,CP-7(2),,,,,,,,CP-7(2) ,,CP-7(2) ,CP-7(2) ,,CP-7(2),,CP-7(2),CP-7(2),,,,,,,164.310(a)(2)(i),,,,,,,,,,,,,,,,CP-7(2) ,,,,,,,,,,,,,,,,,,,,CP-7(2),,,,,Art 12.5(c),,,,,,,,,,,,,,,,,,25.13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,R-AC-4,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Alternate Site Priority of Service,BCD-09.3,"Mechanisms exist to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs). ",- Hot / warm / cold site contracts,E-TPM-04,"Does the organization address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs)? ",6,Recover,,X,,"There is no evidence of a capability to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs). ","SP-CMM1 is N/A, since a structured process is required to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs). ","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs). ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address priority-of-service provisions in alternate processing and storage sites that support availability requirements, including Recovery Time Objectives (RTOs). ",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-7(3),,CP-7(3),CP-7(3),CP-7(3),,,CP-7(3),CP-7(3),,,,CP-7(3),CP-7(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.1.49,,,,,,,,,,,,,,,,CP-7(3),,,,,,,,CP-7(3) ,,CP-7(3) ,CP-7(3) ,,CP-7(3),,CP-7(3),CP-7(3),,,,,,,,,,,,,,,,,,,,,,,CP-7(3) ,,,,,,,,,,,,,,,,,,,,CP-7(3),,,,,,,,,,,,,,,,,,,,,,,"25.12 21.14",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Preparation for Use,BCD-09.4,Mechanisms exist to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.,,,Does the organization prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site?,5,Protect,,X,,There is no evidence of a capability to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.,"SP-CMM1 is N/A, since a structured process is required to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prepare the alternate processing alternate to support essential missions and business functions so that the alternate site is capable of being used as the primary site.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-7(4),,,CP-7(4),CP-7(4),,,,CP-7(4),,,,,CP-7(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.9.6,,,,,,,,,,,,,,,,,,,,,,,,CP-7(4),,,CP-7(4),,CP-7(4),,,CP-7(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Inability to Return to Primary Site,BCD-09.5,Mechanisms exist to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.,,,Does the organization plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site?,5,Protect,X,X,,There is no evidence of a capability to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • BC/DR personnel and business stakeholders designate alternative decision-makers if primary decision-makers are unavailable.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Human Resources (HR), Legal and Procurement departments implement and manage a formal process that enables business-critical personnel to be both redeployed to other roles during a disruptive event, but also appropriately supports the employee(s) throughout the role transition and back into the their original role when the disruptive event is over. • BC/DR function formally assigns business-critical roles that require redundancies and/ or cross training. • BC/DR personnel and business stakeholders designate alternative decision-makers if primary decision-makers are unavailable.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to plan and prepare for both natural and manmade circumstances that preclude returning to the primary processing site.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-7(6),,,,CP-7(6),,,,,CP-7(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,K.1.17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Telecommunications Services Availability,BCD-10,Mechanisms exist to reduce the likelihood of a single point of failure with primary telecommunications services.,- Alternate telecommunications services are maintained with multiple ISP / network providers,,Does the organization reduce the likelihood of a single point of failure with primary telecommunications services?,6,Recover,,X,X,There is no evidence of a capability to reduce the likelihood of a single point of failure with primary telecommunications services.,"SP-CMM1 is N/A, since a structured process is required to reduce the likelihood of a single point of failure with primary telecommunications services.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Data centers contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to reduce the likelihood of a single point of failure with primary telecommunications services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to reduce the likelihood of a single point of failure with primary telecommunications services.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CP-8 CP-8(2) CP-11",,"CP-8 CP-8(2)","CP-8 CP-8(2)","CP-8 CP-8(2) CP-11",,,"CP-8 CP-8(2)","CP-8 CP-8(2)",CP-11,,,"CP-8 CP-8(2)","CP-8 CP-8(2)",,"CP-8 CP-11",,,,"CP-8 CP-11","CP-8 CP-11",,,,,,,,,,,,,,,,,,,,,K.3.2,,,,,,,EC:SG4.SP4,,,,,,,,,"CP-8 CP-8(2)",,,,,,,,"CP-8 CP-8(2)",,"CP-8 CP-8(2)","CP-8 CP-8(2)",,"CP-8 CP-8(2)",,"CP-8 CP-8(2)","CP-8 CP-8(2)",,,,,,,,,,,,,,"8-601 8-603 8-615",,,,,,,,CP-8,"CP-8 CP-8(2)",,,,,,,,,,,,,,,,,,CP-11,,"CP-8 CP-8(2)",,,,3.7.5(91),,,,,,,,,,,,,,,,,,,"21.14 25.16",,,,,,,,,,,,,,,,,,,,,,,,,,B5.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Telecommunications Priority of Service Provisions,BCD-10.1,"Mechanisms exist to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs). ",- Hot / warm / cold site contracts,E-TPM-04,"Does the organization formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs)? ",6,Recover,,X,,"There is no evidence of a capability to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs). ","SP-CMM1 is N/A, since a structured process is required to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs). ","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Data centers contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs). ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to formalize primary and alternate telecommunications service agreements contain priority-of-service provisions that support availability requirements, including Recovery Time Objectives (RTOs). ",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-8(1),,CP-8(1),CP-8(1),CP-8(1),,,CP-8(1),CP-8(1),,,,CP-8(1),CP-8(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.1.54,,,,,,,,,,,,,,,,CP-8(1),,,,,,,,CP-8(1) ,,CP-8(1) ,CP-8(1) ,,CP-8(1),,CP-8(1),CP-8(1),,,,,,,,,,,,,,,,,,,,,,,CP-8(1) ,,,,,,,,,,,,,,,,,,,,CP-8(1),,,,,,,,,,,,,,,,,,,,,,,"21.14 25.17",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Separation of Primary / Alternate Providers,BCD-10.2,Mechanisms exist to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. ,,,Does the organization obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats? ,5,Protect,,X,X,There is no evidence of a capability to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. ,"SP-CMM1 is N/A, since a structured process is required to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. ","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain alternate telecommunications services from providers that are separated from primary service providers to reduce susceptibility to the same threats. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-8(3),,,CP-8(3),CP-8(3),,,,CP-8(3),,,,,CP-8(3),,CP-8(3),,,,CP-8(3),CP-8(3),,,,,,,,,,,,,,,,,,,,,K.2.6,,,,,,,,,,,,,,,,,,,,,,,,CP-8(3),,,CP-8(3),,CP-8(3),,,CP-8(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Provider Contingency Plan ,BCD-10.3,Mechanisms exist to contractually-require external service providers to have contingency plans that meet organizational contingency requirements.,,,Does the organization contractually-require external service providers to have contingency plans that meet organizational contingency requirements?,5,Protect,,X,X,There is no evidence of a capability to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.,"SP-CMM1 is N/A, since a structured process is required to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Data centers contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to contractually-require telecommunications service providers to have contingency plans that meet organizational contingency requirements.",,,,,,,,,,BCR-03,,,,,,,,,,,,,,,,,,,,,,,,,CP-8(4),,,CP-8(4),CP-8(4),,,,CP-8(4),,,,,CP-8(4),,CP-8(4),,,,CP-8(4),CP-8(4),,,,,,,,,,,,,,,,,,,,,K.2.3,,,,,,,,,,,,,,,,,,,,,,,,CP-8(4),,,CP-8(4),,CP-8(4),,,CP-8(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.7.3(86),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- spelling correction ""contingency""" Business Continuity & Disaster Recovery,Alternate Communications Paths,BCD-10.4,Mechanisms exist to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.,,,Does the organization maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable?,5,Protect,X,X,X,There is no evidence of a capability to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.,"SP-CMM1 is N/A, since a structured process is required to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain command and control capabilities via alternate communications channels and designating alternative decision makers if primary decision makers are unavailable.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-47,,,,,SC-47,,,,SC-47,,SC-47,,,SC-47,SC-47,SC-47,,,,,,,,,,,,,,,,,,,,,K.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.7.5(91),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-EX-1 R-GV-1 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,,,,,R-EX-1,,,,,,,R-GV-1,,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SC-47 Business Continuity & Disaster Recovery,Data Backups,BCD-11,"Mechanisms exist to create recurring backups of data, software and/or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","- Backup technologies & procedures - Offline storage","E-BCM-10 E-BCM-11 E-BCM-12 E-BCM-13","Does the organization create recurring backups of data, software and/or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs)?",10,Protect,X,X,X,"There is no evidence of a capability to create recurring backups of data, software and/ or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to create backups to support business needs (e.g., Recovery Time Objectives). • Backups of sensitive/regulated data are cryptographically protected to prevent the unauthorized disclosure and modification of backup information.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to conduct full, incremental or differential backups (e.g., tape/disk, hybrid cloud or direct-to-cloud). • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code). • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to conduct full, incremental or differential backups (e.g., tape/disk, hybrid cloud or direct-to-cloud). • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code). • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data. • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data. • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to create recurring backups of data, software and/ or system images, as well as verify the integrity of these backups, to ensure the availability of the data to satisfying Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","CC7.5 A1.2","A1.2-POF7 A1.2-POF8",,11.2,11.2,11.2,11.2,"APO14.10 DSS04.07",,BCR-08,,,,CR 7.3 (11.5.1),,,,,12.3.1 ,8.13,12.3.1 ,,"6.9.3 6.9.3.1",,,,"T1003, T1003.003, T1005, T1025, T1070, T1070.001, T1070.002, T1119, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002, T1565, T1565.001, T1565.003",,,,PR.PO-P3,,,,"CP-9 SC-28(2)",CP-9,CP-9,CP-9,"CP-9 SC-28(2)",,CP-9,CP-9,CP-9,SC-28(2),,CP-9,CP-9,CP-9,,,,,,,,3.8.9,3.8.9,3.8.9,,3.14.5e,,PR.IP-4,PR.DS-11,,,"9.4.1.1 9.4.1.2",9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,"9.4.1.1 9.4.1.2","9.4.1.1 9.4.1.2",9.4.1.1,K.1,,,,,,"RESPONSE-4.B.MIL1 RESPONSE-4.J.MIL2",KIM:SG6.SP1,7.3,,,MP.L2-3.8.9,"MP.L2-3.8.9 TBD - 3.14.5e",,MP.L2-3.8.9,MP.L2-3.8.9,CP-9,,,,,,,,CP-9 ,CP-9 ,CP-9 ,CP-9 ,CP-9 ,CP-9,CP-9,CP-9,CP-9,CP-9,,,,,,"164.308(a)(7)(ii)(A) 164.310(d)(2)(iv)",,4.M.D,4.M.D,"2.B.5 CP-9",,,"8-603 8-612",,6.10,,,,,CP-9 ,CP-9 ,CP-9 ,,,,,,,,,,,,,,,,,,CP-9,CP-9,CP-9,,,,3.5(57),"Art 12.1 Art 12.1(a) Art 12.1(b) Art 12.2",,,,,,,,,,,,,8.7,OPS-06,,,,25.9,,,,,,,,,,,,"2-8-1-2 2-8-1-3",TPC-64,,2-9-3,"2-8 2-8-1 2-8-1-1 2-8-1-2 2-8-1-3 2-8-1-4 2-8-2",,,,,8.7.7 [MP.INFO.7],,,,,B5.c,,,,,"Principle 8.1 Principle 8.2 Principle 8.3","Principle 8.1 Principle 8.2 Principle 8.3","Principle 8.1 Principle 8.2 Principle 8.3",,,"1547 1548 1511 1810 1811",,,,,,,,,,,12.3.1,,,6.4.6.C.01,,,,,"8.4.1 8.4.2",,,,,,6.14,,,,,,,,,,,,,,x,Lockton,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Testing for Reliability & Integrity ,BCD-11.1,"Mechanisms exist to routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data. ",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data? ",9,Recover,X,X,X,"There is no evidence of a capability to routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data. ","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • A random sampling of backups is tested at least annually to verify integrity and recoverability of backed up data. • Backup media for sensitive/regulated data is encrypted and integrity checked.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • IT personnel perform a random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to routinely test backups that verify the reliability of the backup process, as well as the integrity and availability of the data. ","CC7.5 A1.2",A1.3-POF2,,"11.3 11.5",11.3,"11.3 11.5","11.3 11.5",,,"BCR-06 BCR-08",,SO22,,CR 7.3 (11.5.3(1)),,,,,12.3.1 ,8.13,12.3.1 ,,,,,,,,,,PR.DS-P6,,,,CP-9(1),,CP-9(1),CP-9(1),CP-9(1),,,CP-9(1),CP-9(1),,,,CP-9(1),CP-9(1),,,,,,,,,,,,,,PR.IP-4,,,,,,,,,,,,,,K.1.16,,,,,,"RESPONSE-4.B.MIL1 RESPONSE-4.J.MIL2",,,,,,,,,,CP-9(1),,,,,,,,CP-9(1) ,,CP-9(1) ,CP-9(1) ,,CP-9(1),,CP-9(1),CP-9(1),,,,,,,,,,,,,,,,,,,,,,CP-9(1) ,CP-9(1) ,,,,,,,,,,,,,,,,,,,,CP-9(1),,,,,"Art 12.2 Art 12.7",,,,,,,,,,,,,,"OPS-06 OPS-07 OPS-08",,,,"25.9 25.19",,,,,,,,,,,,2-8-2,,,2-9-3-3,,,,,,,,,,,B5.c,,,,,Principle 8.4,Principle 8.4,Principle 8.4,,,1515,,,,,,,,,,,12.3.1,,,,,,,,8.4.3,,,,,,,,,,,,,,,,,,,,x,Lockton,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Separate Storage for Critical Information ,BCD-11.2,Mechanisms exist to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.,- IronMountain,"E-AST-08 E-BCM-11 E-BCM-12 E-BCM-13",Does the organization store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up?,8,Protect,,X,X,There is no evidence of a capability to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • Backup copies of software or licenses/product keys are stored locally in a fire-rated container.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to store backup copies of critical software and other security-related information in a separate facility or in a fire-rated container that is not collocated with the system being backed up.",A1.2,A1.2-POF9,,,,,,,,,,,,,,,,,12.3.1 ,8.13,12.3.1 ,,,,,,,,,,,,,,CP-9(3),,,CP-9(3),CP-9(3),,,,CP-9(3),,,,,CP-9(3),,,,,,,,,,,,,,,,,,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,9.4.1.1,K.4,,,,,,RESPONSE-4.K.MIL2,,,,,,,,,,,,,,,,,,CP-9(3) ,,CP-9(3) ,CP-9(3) ,,CP-9(3),,,CP-9(3),,,,,,,,,,,,,,,,,,,,,,,CP-9(3) ,,,,,,,,,,,,,,,,,,CP-9(3),,CP-9(3),,,,3.5(58),Art 12.3,,,,,,,,,,,,,,"OPS-06 PSS-12",,,,25.20,,,,,,,,,,,,,TPC-38,,,2-8-1-4,,,,,,,,,,,,,,,,,,,,1811,,,,,,,,,,,12.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Information System Imaging,BCD-11.3,"Mechanisms exist to reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Acronis - Docker (https://www.docker.com/) - VMWare",,"Does the organization reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state?",8,Recover,,,X,"There is no evidence of a capability to reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state.","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • IT personnel have a limited capability to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code).Limited technologies exist to conduct full, incremental or differential backups (e.g., tape/disk, hybrid cloud or direct-to-cloud).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • IT personnel use technology to re-image, or configure, assets from configuration-controlled and integrity-protected images or scripts (infrastructure as code).","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to reimage assets from configuration-controlled and integrity-protected images that represent a secure, operational state.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,V.1.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,OPS-09,,,,"25.12 25.22",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-IR-1 R-IR-4",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Cryptographic Protection,BCD-11.4,Cryptographic mechanisms exist to prevent the unauthorized disclosure and/or modification of backup information.,- Backup technologies & procedures,,Are cryptographic mechanisms utilized to prevent the unauthorized disclosure and/or modification of backup information?,9,Protect,,,X,There is no evidence of a capability to Cryptographic prevent the unauthorized disclosure and/ or modification of backup information.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Backups for sensitive/regulated data are cryptographically protected (encrypted and integrity checked) to prevent the unauthorized disclosure and modification of backup information.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic prevent the unauthorized disclosure and/ or modification of backup information.",A1.2,,,11.3,11.3,11.3,11.3,,,,,,,,,,,,12.3.1 ,8.13,12.3.1 ,,,,,,,,,,,,,,,,,,"CP-9(8) SC-28(1)",,,CP-9(8),CP-9(8),,,,CP-9(8),CP-9(8),,,,,,,,3.8.9,3.8.9,3.8.9,A.03.08.09,,,,,,,,,,,,,,,,,D.1.6,,,,,,,,,,,MP.L2-3.8.9,MP.L2-3.8.9,,MP.L2-3.8.9,MP.L2-3.8.9,,,,,,,,,,,,,,CP-9(8),,CP-9(8),CP-9(8),,,,,,,,,,,"2.B.5 CP-9(8)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,25.18,,,,,,,,,,,,2-8-1-3,TPC-65,,,2-8-1-4,,,,,,,,,,,,,,,Principle 8.3,Principle 8.3,Principle 8.3,,,,,,,,,,,,,,12.3.1,,,,,,,,8.4.4,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-2 R-GV-4 R-GV-5 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Test Restoration Using Sampling,BCD-11.5,Mechanisms exist to utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing. ,,,Does the organization utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing? ,5,Protect,,X,,There is no evidence of a capability to utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing. ,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A random sampling of backups is tested at least semi-annually to verify integrity and recoverability of backed up data.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize sampling of available backups to test recovery capabilities as part of business continuity plan testing. ",,,,,,,,,,"BCR-06 BCR-08",,,,,,,,,,,,,,,,,,,,,,,,,CP-9(2),,,CP-9(2),CP-9(2),,,,CP-9(2),,,,,CP-9(2),,,,,,,,,,,,,,PR.IP-10,,,,,,,,,,,,,,K.1.38,,,,,,,,,,,,,,,,,,,,,,,,CP-9(2),,,CP-9(2),,CP-9(2),,,CP-9(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 12.2 Art 12.7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3-1-1-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Lockton,,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-2 R-GV-4 R-GV-5 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Transfer to Alternate Storage Site,BCD-11.6,Mechanisms exist to transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).,,,Does the organization transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs)?,5,Protect,,X,X,There is no evidence of a capability to transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).,"SP-CMM1 is N/A, since a structured process is required to transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • The organization either owns the facility or contracts with a third-party provider for off-site storage.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to transfer backup data to the alternate storage site at a rate that is capable of meeting both Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).",,A1.2-POF9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-9(5),,,CP-9(5),CP-9(5),,,,CP-9(5),,,,,CP-9(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.1.54,,,,,,,,,,,,,,,,,,,,,,,,CP-9(5),,,CP-9(5),,CP-9(5),,,CP-9(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 12.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-8-1-4,,,,,,,,,,B5.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Redundant Secondary System,BCD-11.7,"Mechanisms exist to maintain a failover system, which is not collocated with the primary system, application and/or service, which can be activated with little-to-no loss of information or disruption to operations.",,,"Does the organization maintain a failover system, which is not collocated with the primary system, application and/or service, which can be activated with little-to-no loss of information or disruption to operations?",5,Protect,X,X,X,"There is no evidence of a capability to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.","SP-CMM1 is N/A, since a structured process is required to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a failover system, which is not collocated with the primary system, application and/ or service, which can be activated with little-to-no loss of information or disruption to operations.",,,,,,,,,,"BCR-03 BCR-11",,,,,,,,,17.2.1 ,8.14,17.2.1 ,,,,,,,,,,,,,,CP-9(6),,,,CP-9(6),,,,,CP-9(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,K.1.43,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 12.4,,,,,,,,,,,,,,PS-02,,,,,,,,,,,,,,,,,,,,3-1-1-2,,,,,,,,,,B5.b,,,,,,,,,,,,,,,,,,,,,17.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- wordsmithed control Business Continuity & Disaster Recovery,Dual Authorization For Backup Media Destruction,BCD-11.8,Mechanisms exist to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.,,,Does the organization implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data?,5,Protect,,X,,There is no evidence of a capability to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.,"SP-CMM1 is N/A, since a structured process is required to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.","SP-CMM2 is N/A, since a well-defined process is required to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data. • IT personnel implement and enforce dual authorization for the deletion or destruction of sensitive/regulated backup media and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and enforce dual authorization for the deletion or destruction of sensitive backup media and data.",,,,,,,,,,,,,,CR 2.1 (6.3.3(4)),,,,,,,,,,,,,,,,,,,,,CP-9(7),,,,CP-9(7),,,,,CP-9(7),,,,,,,,,,,,,,,,3.1.1e,,,,,,,,,,,,,,,,D.3.8.1,,,,,,,,,,,,TBD - 3.1.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-2 R-GV-3 R-GV-6 R-GV-7 R-IR-1",R-AC-1,R-AC-2,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,,R-GV-2,R-GV-3,,,R-GV-6,R-GV-7,,R-IR-1,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Backup Access,BCD-11.9,Mechanisms exist to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.,,,Does the organization restrict access to backups to privileged users with assigned roles for data backup and recovery operations?,9,Protect,,X,X,There is no evidence of a capability to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.,"SP-CMM1 is N/A, since a structured process is required to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.","SP-CMM2 is N/A, since a well-defined process is required to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to backups to privileged users with assigned roles for data backup and recovery operations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-50,,,,,,,,,,,,,B5.c,,,,,Principle 8.5,Principle 8.5,Principle 8.5,,,"1812 1813",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-6 R-GV-7 R-GV-8",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,,,R-GV-6,R-GV-7,R-GV-8,,,,,,,"MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,,,,,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Backup Modification and/or Destruction,BCD-11.10,Mechanisms exist to restrict access to modify and/or delete backups to privileged users with assigned data backup and recovery operations roles.,,,Does the organization restrict access to modify and/or delete backups to privileged users with assigned data backup and recovery operations roles?,9,Protect,,X,X,There is no evidence of a capability to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.,"SP-CMM1 is N/A, since a structured process is required to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.","SP-CMM2 is N/A, since a well-defined process is required to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backups from privileged users to prevent unauthorized restore of sensitive data. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to modify and/ or delete backups to privileged users with assigned data backup and recovery operations roles.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 8.6,"Principle 8.6 Principle 8.7 Principle 8.8","Principle 8.6 Principle 8.7 Principle 8.8",,,1814,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-6 R-GV-7 R-GV-8",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,,,R-GV-6,R-GV-7,R-GV-8,,,,,,,"MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,,,,,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Information System Recovery & Reconstitution,BCD-12,"Mechanisms exist to ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure.",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure?",9,Protect,X,X,X,"There is no evidence of a capability to ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure.","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Recoveries are performed into an isolated, non-production environment.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure the secure recovery and reconstitution of systems to a known state after a disruption, compromise or failure.","CC7.5 A1.2",,,11.3,11.3,11.3,11.3,,,,"OPA-06 OPA-07",,,CR 7.4 (11.6.1),,,,,,,,,,,,,"T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1561, T1561.001, T1561.002, T1565, T1565.001",,,,,,,,CP-10,CP-10,CP-10,CP-10,CP-10,,CP-10,CP-10,CP-10,,,CP-10,CP-10,CP-10,,,,,,,,,,,,,,PR.IP-4,"RC.RP-03 RC.RP-05",,,,,,,,,,,,,K.8.1,,,,,,,SC:SG3.SP1,,,,,,,,,CP-10,,,,,,,,CP-10 ,CP-10 ,CP-10 ,CP-10 ,CP-10 ,CP-10,CP-10,CP-10,CP-10,CP-10,,"D5.IR.Pl.B.5 D5.IR.Te.E.3",,,,,,,,CP-10,,,8-613,,,,,,,CP-10 ,CP-10 ,CP-10 ,,,,,,,,,,,,,,,,,,CP-10,CP-10,CP-10,,,,3.7.3(83),,,,,,,,,,,,,,,,,,,"25.9 25.12 25.22",,,,,,,,,,,,2-8-2,,,2-4-3-3,,,,,,,,,,,B5.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Transaction Recovery,BCD-12.1,Mechanisms exist to utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).,,,Does the organization utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs)?,9,Recover,X,X,X,There is no evidence of a capability to utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).,"SP-CMM1 is N/A, since a structured process is required to utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Recoveries are performed into an isolated, non-production environment.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize specialized backup mechanisms that will allow transaction recovery for transaction-based applications and services in accordance with Recovery Point Objectives (RPOs).",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-10(2),,CP-10(2),CP-10(2),CP-10(2),,,CP-10(2),CP-10(2),,,,CP-10(2),CP-10(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.2.1,,,,,,,,,,,,,,,,CP-10(2),,,,,,,,CP-10(2) ,,CP-10(2) ,CP-10(2) ,,CP-10(2),,CP-10(2),CP-10(2),,,,,,,,,,,CP-10(2),,,,,,,,,,,CP-10(2) ,CP-10(2) ,,,,,,,,,,,,,,,,,,,,CP-10(2),,,,,,,,,,,,,,,,,,,,,,,"25.9 25.21",,,,,,,,,,,,,,,2-4-3-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Failover Capability,BCD-12.2,"Mechanisms exist to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/or services.","- Load balancers - High Availability (HA) firewalls",,"Does the organization implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/or services?",8,Recover,X,X,X,"There is no evidence of a capability to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/ or services.","Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Technologies exist to support business-critical application and services failover. • Technologies exist to support network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/ or services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement real-time or near-real-time failover capability to maintain availability of critical systems, applications and/ or services.",A1.2,,,,,,,,,"BCR-03 BCR-11","OPA-06 OPA-07",,,"FR 7 (11.1) CR 7.1 (11.3.1)",,,,,,,,,,,,,,,,,PR.PT-P4,,,,CP-10(5),,,,SI-13,,,,,SI-13,,,,SI-13,,,,,,,,,,,,,,PR.PT-5,PR.IR-04,,,,,,,,,,,,,K.1.1,,,,,,"RESPONSE-4.C.MIL1 RESPONSE-4.L.MIL2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 12.4,,,,,,,,,,,,,,,,,,"12.26 25.12",,,,,,,,,,,,,TPC-43,,,,,,,,,,,,,B5.b,,,,,,,,,,1441,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SI-13 Business Continuity & Disaster Recovery,Electronic Discovery (eDiscovery),BCD-12.3,Mechanisms exist to utilize electronic discovery (eDiscovery) that covers current and archived communication transactions.,,,Does the organization utilize electronic discovery (eDiscovery) that covers current and archived communication transactions?,8,Respond,X,X,X,There is no evidence of a capability to utilize electronic discovery (eDiscovery) that covers current and archived communication transactions.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.). • F or eDiscovery, IT personnel manually identify and collect Electronically Stored Information (ESI) in order to respond to a request from a lawsuit or investigation.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • A documented eDiscovery process exists to support Federal Rules of Civil Procedure (FRCP) requirements for eDiscovery practices. • F or eDiscovery, IT personnel use network and endpoint-based technologies to identify, collect and produce Electronically Stored Information (ESI) in response to a request from a lawsuit or investigation.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • A documented eDiscovery process exists to support Federal Rules of Civil Procedure (FRCP) requirements for eDiscovery practices. • IT personnel use network and endpoint-based technologies to identify, collect and produce Electronically Stored Information (ESI) in response to an eDiscovery request from a lawsuit or investigation. • Predictive coding and other analytic software for e-discovery, such as Computer Assisted Review (CAR) or Technology Assisted Review (TAR), is used to reduce the number of documents required for review by attorneys and allow the legal team to prioritize the documents it does review.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize electronic discovery (eDiscovery) that covers current and archived communication transactions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.1.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.3.13.C.01 11.3.13.C.02 11.3.13.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-5 R-GV-1 R-GV-2 R-IR-1 R-IR-2 R-IR-4",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,,,R-EX-5,,,R-GV-1,R-GV-2,,,,,,,R-IR-1,R-IR-2,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Restore Within Time Period,BCD-12.4,"Mechanisms exist to restore systems, applications and/or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset. ",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization restore systems, applications and/or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset? ",5,Respond,X,X,X,"There is no evidence of a capability to restore systems, applications and/ or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset. ","SP-CMM1 is N/A, since a structured process is required to restore systems, applications and/ or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset. ","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs).","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restore systems, applications and/ or services within organization-defined restoration time-periods from configuration-controlled and integrity-protected information; representing a known, operational state for the asset. ",,,,,,,,,,BCR-03,,,,,,,,,,,,,,,,,,,,,,,,,CP-10(4),,,CP-10(4),CP-10(4),,,,CP-10(4),,,,,CP-10(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.8.1,,,,,,,,,,,,,,,,,,,,,,,,CP-10(4),,,CP-10(4),,CP-10(4),,,CP-10(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-3 R-IR-4",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Backup & Restoration Hardware Protection ,BCD-13,Mechanisms exist to protect backup and restoration hardware and software.,,,Does the organization protect backup and restoration hardware and software?,8,Protect,X,X,X,There is no evidence of a capability to protect backup and restoration hardware and software.,"Business Continuity & Disaster Recovery (BCD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, including internal teams and third-party service providers. • IT personnel develop limited Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Business stakeholders develop limited Business Continuity Plans (BCPs) to ensure business-critical functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • Backups are performed ad-hoc and focus on business-critical systems. • Limited technologies exist to support near real-time network infrastructure failover (e.g., redundant ISPs, redundant power, etc.).","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • IT personnel maintain technologies that are compatible with existing network and infrastructure configuration. ","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Logical and physical access controls restricts access to backup and restoration hardware. • IT personnel maintain technologies that are compatible with existing network and infrastructure configuration. ","Business Continuity & Disaster Recovery (BCD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect backup and restoration hardware and software.",CC7.5,,,11.3,11.3,11.3,11.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,CP-10(6),,,,CP-10(6),,,,,CP-10(6),,,CP-10(6),CP-10(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,K.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"25.12 25.18",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for CP-10(6) Business Continuity & Disaster Recovery,Isolated Recovery Environment,BCD-14,"Mechanisms exist to utilize an isolated, non-production environment to perform data backup and recovery operations through offline, cloud or off-site capabilities.",,,"Does the organization utilize an isolated, non-production environment to perform data backup and recovery operations through offline, cloud or off-site capabilities?",5,Recover,X,X,X,"There is no evidence of a capability to utilize an isolated, non-production environment to perform data backup and recovery operations through offline, cloud or off-site capabilities.","SP-CMM1 is N/A, since a structured process is required to utilize an isolated, non-production environment to perform data backup and recovery operations through offline, cloud or off-site capabilities.","Business Continuity & Disaster Recovery (BCD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Business Continuity / Disaster Recovery (BC/DR) management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for BC/DR management. • BC/DR roles are formally assigned as an additional duty to existing IT/cybersecurity personnel. • Recovery Time Objectives (RTOs) identify business-critical systems and services, which are given priority of service in alternate processing and storage sites. • IT personnel develop Disaster Recovery Plans (DRP) to recover business-critical systems and services. • Data/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • IT/cybersecurity personnel work with business stakeholders to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within Recovery Time Objectives (RTOs). • IT personnel use a backup methodology (e.g., grandfather, father & s on rotation) to store backups in a secondary location, separate from the primary storage site. • IT personnel configure business-critical systems to transfer backup data to the alternate storage site at a rate that is capable of meeting Recovery Time Objectives (RTOs) and Recovery Point Objectives (RPOs). • IT personnel maintain technologies that are compatible with existing network and infrastructure configuration. ","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Recoveries are performed into an isolated, non-production environment. • Logical and physical access controls restricts access to backup and restoration hardware. • IT personnel maintain technologies that are compatible with existing network and infrastructure configuration. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize an isolated, non-production environment to perform data backup and recovery operations through offline, cloud or off-site capabilities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize an isolated, non-production environment to perform data backup and recovery operations through offline, cloud or off-site capabilities.",,,,11.4,11.4,11.4,11.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RC.RP-03,,,,,,,,,,,,,K.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,Reserve Hardware,BCD-15,Mechanisms exist to purchase and maintain a sufficient reserve of spare hardware to ensure essential missions and business functions can be maintained in the event of a supply chain disruption.,,,Does the organization purchase and maintain a sufficient reserve of spare hardware to ensure essential missions and business functions can be maintained in the event of a supply chain disruption?,7,Recover,X,X,,There is no evidence of a capability to purchase and maintain a sufficient reserve of spare hardware to ensure essential missions and business functions can be maintained in the event of a supply chain disruption.,"SP-CMM1 is N/A, since a structured process is required to purchase and maintain a sufficient reserve of spare hardware to ensure essential missions and business functions can be maintained in the event of a supply chain disruption.","SP-CMM2 is N/A, since a well-defined process is required to purchase and maintain a sufficient reserve of spare hardware to ensure essential missions and business functions can be maintained in the event of a supply chain disruption.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities. • Based on the criticality of the asset, the organization purchases and maintains a sufficient reserve of spare hardware to ensure essential equipment can be maintained in the event of supply chain disruptions. • Within the BCPs, alternate communications channels have been defined and alternative decision-makers are designated if primary decision-makers are unavailable.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to purchase and maintain a sufficient reserve of spare hardware to ensure essential missions and business functions can be maintained in the event of a supply chain disruption.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to purchase and maintain a sufficient reserve of spare hardware to ensure essential missions and business functions can be maintained in the event of a supply chain disruption.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B5.b,,,,,,,,,,1789,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Business Continuity & Disaster Recovery,AI & Autonomous Technologies Incidents,BCD-16,Mechanisms exist to handle failures or incidents with Artificial Intelligence (AI) and Autonomous Technologies (AAT) deemed to be high-risk.,,,Does the organization handle failures or incidents with Artificial Intelligence (AI) and Autonomous Technologies (AAT) deemed to be high-risk?,10,Respond,X,X,X,There is no evidence of a capability to handle failures or incidents with Artificial Intelligence (AI) and Autonomous Technologies (AAT) deemed to be high-risk.,"SP-CMM1 is N/A, since a structured process is required to handle failures or incidents with Artificial Intelligence (AI) and Autonomous Technologies (AAT) deemed to be high-risk.","SP-CMM2 is N/A, since a well-defined process is required to handle failures or incidents with Artificial Intelligence (AI) and Autonomous Technologies (AAT) deemed to be high-risk.","Business Continuity & Disaster Recovery (BCD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A formal Business Continuity & Disaster Recovery (BC/DR) program exists with defined roles and responsibilities to restore functionality in the event of a catastrophe, emergency, or significant disruptive incident that is handled in accordance with the Continuity of Operations Plan (COOP). • BC/DR personnel work with business stakeholders to identify business-critical systems, services, internal teams and third-party service providers. • Application/system/process owners conduct a Business Impact Analysis (BIA) at least annually, or after any major technology or process change, to identify assets critical to the business in need of protection, as well as single points of failure. • Recovery Time Objectives (RTOs) are defined. • Recovery Point Objectives (RPOs) are defined. • Controls are assigned to sensitive/regulated assets to comply with specific BC/DR requirements to facilitate recovery operations in accordance with RTOs and RPOs. • IT personnel work with business stakeholders to develop Disaster Recovery Plans (DRP) to recover business-critical systems and services within RPOs. • Business stakeholders work with IT personnel to develop Business Continuity Plans (BCPs) to ensure business functions are sustainable both during and after an incident within RTOs. • The data backup function is formally assigned with defined roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to handle failures or incidents with Artificial Intelligence (AI) and Autonomous Technologies (AAT) deemed to be high-risk.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to handle failures or incidents with Artificial Intelligence (AI) and Autonomous Technologies (AAT) deemed to be high-risk.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 6.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Capacity & Performance Planning,Capacity & Performance Management ,CAP-01,Mechanisms exist to facilitate the implementation of capacity management controls to ensure optimal system performance to meet expected and anticipated future capacity requirements.,"- Splunk - Resource monitoring",,Does the organization facilitate the implementation of capacity management controls to ensure optimal system performance to meet expected and anticipated future capacity requirements?,8,Protect,,X,,There is no evidence of a capability to facilitate the implementation of capacity management controls to ensure optimal system performance to meet expected and anticipated future capacity requirements.,"Capability & Performance Planning (CAP) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services. • IT personnel work with business stakeholders to identify growth requirements and add capacity accordingly.","Capability & Performance Planning (CAP) are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Capacity management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for capability management. • IT personnel work with: o Business stakeholders to identify business-critical systems and services. o Business stakeholders to identify single points of failure from a system/applications/services perspective. • IT infrastructure personnel: o Create and maintain infrastructure performance metrics to understand current resource needs. o Deploy preventative technologies to minimize the effect of Denial of Service (DoS) attacks against business-critical services.","Capability & Performance Planning (CAP) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to provide guidance for capacity and performance planning practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization. This CONOPS for capacity and performance planning may be incorporated as part of a broader operational plan for the cybersecurity & data privacy program. • A Governance, Risk & Compliance (GRC) team, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program and establishes a clear and authoritative accountability structure for capacity and performance planning operations. • IT personnel work with business stakeholders to identify business-critical systems and services, as part of the organization’s IT Asset Management (ITAM) program. • Automated tools continuously monitor the operating state and health status of systems/applications/services. • Business stakeholders conduct a Business Impact Analysis (BIA) to determine acceptable downtime constraints and any dependencies between applications or systems, to objectively determine the criticality of systems, applications or services, as well as the order is which systems need to be restored. • Demand is managed for computing resources based on BIA-defined prioritization. • Based on BIA results, IT infrastructure personnel deploy preventative technologies to minimize the effect of Denial of Service (DoS) attacks. • IT architects identify appropriate solutions to make sure service levels can be met. • IT infrastructure personnel: o Create an annual infrastructure growth plan with input from both technology and business stakeholders. o Create and maintain infrastructure performance metrics to understand current resource needs. o Produce a capacity plan that covers current use, forecasted needs and support costs for new systems, applications and services. • Automated tools continuously monitor the operating state and health status of systems, applications and services. • IT personnel work with business stakeholders to identify single points of failure from a system/applications/services perspective.","Capability & Performance Planning (CAP) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of capacity management controls to ensure optimal system performance to meet expected and anticipated future capacity requirements.",A1.1,"A1.1-POF1 A1.1-POF3",,,,,,,,IVS-02,SNT-03,,,CR 7.2 (11.4.1),,,,,12.1.3 ,8.6,12.1.3 ,,6.9.1.3,,,,T1564.009,,,,PR.DS-P4,,,,"SC-5 SC-5(3)",SC-5,SC-5,SC-5,"SC-5 SC-5(3)",,SC-5,SC-5,SC-5,SC-5(3),,SC-5,SC-5,SC-5,,,,,,,,,,,,,,PR.DS-4,"PR.IR-03 PR.IR-04",,,,,,,,,,,,,K.1,,,,,,,,,,,,,,,,SC-5,,,,,,,,SC-5,SC-5,SC-5,SC-5,SC-5,SC-5,SC-5,SC-5,SC-5,SC-5,,"D5.IR.Pl.B.5 D5.IR.Pl.B.6 D5.IR.Pl.E.3 D3.PC.Im.E.4",,,,,,,,,,,8-701,,,,,,,SC-5,SC-5,SC-5,,,,,,,,,,,,,,,,,,SC-5,SC-5,SC-5,,,,3.5(56),,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,8.8,"OPS-01 OPS-02 OPS-03",,,,25.2,,,,,,,,,,,,,,,,,,,"Sec 19.1 Sec 19.2",,7.1.4 [OP.PL.4],,,,,,,,,,,,,,,"1579 1580 1581",,,,,,,,,,,"12.1.3 12.1.3.9.PB",,,,,,,,8.1.1,,,,,,6.1,,,,,,,,,,,,,,x,,x,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-SA-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Capacity & Performance Planning,Resource Priority,CAP-02,Mechanisms exist to control resource utilization of systems that are susceptible to Denial of Service (DoS) attacks to limit and prioritize the use of resources.,"- Splunk - Resource monitoring",,Does the organization control resource utilization of systems that are susceptible to Denial of Service (DoS) attacks to limit and prioritize the use of resources?,8,Protect,,X,,There is no evidence of a capability to control resource utilization of systems that are susceptible to Denial of Service (DoS) attacks to limit and prioritize the use of resources.,"SP-CMM1 is N/A, since a structured process is required to control resource utilization of systems that are susceptible to Denial of Service (DoS) attacks to limit and prioritize the use of resources.","Capability & Performance Planning (CAP) are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Capacity management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for capability management. • IT personnel work with: o Business stakeholders to identify business-critical systems and services. o Business stakeholders to identify single points of failure from a system/applications/services perspective. • IT infrastructure personnel: o Create and maintain infrastructure performance metrics to understand current resource needs. o Deploy preventative technologies to minimize the effect of Denial of Service (DoS) attacks against business-critical services.","Capability & Performance Planning (CAP) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, as part of the organization’s IT Asset Management (ITAM) program. • Automated tools continuously monitor the operating state and health status of systems/applications/services. • Business stakeholders conduct a Business Impact Analysis (BIA) to determine acceptable downtime constraints and any dependencies between applications or systems, to objectively determine the criticality of systems, applications or services, as well as the order is which systems need to be restored. • Demand is managed for computing resources based on BIA-defined prioritization. • Based on BIA results, IT infrastructure personnel deploy preventative technologies to minimize the effect of Denial of Service (DoS) attacks. • IT architects identify appropriate solutions to make sure service levels can be met. • IT infrastructure personnel: o Create an annual infrastructure growth plan with input from both technology and business stakeholders. o Create and maintain infrastructure performance metrics to understand current resource needs. o Produce a capacity plan that covers current use, forecasted needs and support costs for new systems, applications and services. • Automated tools continuously monitor the operating state and health status of systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to control resource utilization of systems that are susceptible to Denial of Service (DoS) attacks to limit and prioritize the use of resources.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control resource utilization of systems that are susceptible to Denial of Service (DoS) attacks to limit and prioritize the use of resources.",A1.1,,,,,,,,,,,,,,,,,,,,,,,,,,T1564.009,,,,,,,,"SC-5 SC-5(1) SC-5(2) SC-6",SC-5,SC-5,SC-5,"SC-5 SC-5(1) SC-5(2) SC-6",,SC-5,SC-5,SC-5,"SC-5(1) SC-5(2) SC-6",,SC-5,SC-5,SC-5,,SC-5(2),,,,SC-5(2),,,,,,,,,,,,,,,,,,,,,,N.1,,,,,,,,,,,,,,,,"SC-5 SC-6",,,,,,,,"SC-5 SC-6 ",SC-5,"SC-5 SC-6 ","SC-5 SC-6 ",SC-5,SC-5,SC-5,SC-5,SC-5,SC-5,,,,,,,,,,,,,,,,,,,,SC-5,SC-5,"SC-5 SC-6 ",,,,,,,,,,,,,,,,,,SC-5,SC-5,"SC-5 SC-6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1579 1580 1581",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-SA-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Capacity & Performance Planning,Capacity Planning ,CAP-03,"Mechanisms exist to conduct capacity planning so that necessary capacity for information processing, telecommunications and environmental support will exist during contingency operations. ",,,"Does the organization conduct capacity planning so that necessary capacity for information processing, telecommunications and environmental support will exist during contingency operations? ",8,Protect,,X,X,"There is no evidence of a capability to conduct capacity planning so that necessary capacity for information processing, telecommunications and environmental support will exist during contingency operations. ","Capability & Performance Planning (CAP) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services. • IT personnel work with business stakeholders to identify growth requirements and add capacity accordingly.","Capability & Performance Planning (CAP) are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Capacity management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for capability management. • IT personnel work with: o Business stakeholders to identify business-critical systems and services. o Business stakeholders to identify single points of failure from a system/applications/services perspective. • IT infrastructure personnel: o Create and maintain infrastructure performance metrics to understand current resource needs. o Deploy preventative technologies to minimize the effect of Denial of Service (DoS) attacks against business-critical services.","Capability & Performance Planning (CAP) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, as part of the organization’s IT Asset Management (ITAM) program. • Automated tools continuously monitor the operating state and health status of systems/applications/services. • Business stakeholders conduct a Business Impact Analysis (BIA) to determine acceptable downtime constraints and any dependencies between applications or systems, to objectively determine the criticality of systems, applications or services, as well as the order is which systems need to be restored. • Demand is managed for computing resources based on BIA-defined prioritization. • Based on BIA results, IT infrastructure personnel deploy preventative technologies to minimize the effect of Denial of Service (DoS) attacks. • IT architects identify appropriate solutions to make sure service levels can be met. • IT infrastructure personnel: o Create an annual infrastructure growth plan with input from both technology and business stakeholders. o Create and maintain infrastructure performance metrics to understand current resource needs. o Produce a capacity plan that covers current use, forecasted needs and support costs for new systems, applications and services. • Automated tools continuously monitor the operating state and health status of systems, applications and services.","Capability & Performance Planning (CAP) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct capacity planning so that necessary capacity for information processing, telecommunications and environmental support will exist during contingency operations. ",A1.1,A1.1-POF2,,,,,,,,,,,,,,,,,12.1.3 ,8.6,12.1.3 ,,,,,,,,,,PR.DS-P4,,,,"SC-5 SC-5(2) CP-2(2)",SC-5,SC-5,"SC-5 CP-2(2)","CP-2(2) SC-5 SC-5(2)",,SC-5,SC-5,"SC-5 CP-2(2)",SC-5(2),,SC-5,SC-5,"SC-5 CP-2(2)",,"SC-5(2) CP-2(2)",,,,"SC-5(2) CP-2(2)",CP-2(2),,,,,,,PR.DS-4,,,,,,,,,,,,,,N.1,,,,,,,,,,,,,,,,"CP-2(2) SC-5",,,,,,,,"CP-2(2) SC-5",SC-5,"CP-2(2) SC-5","CP-2(2) SC-5",SC-5,"CP-2(2) SC-5",SC-5,SC-5,"CP-2(2) SC-5",SC-5,,,,,,,,,,,,,,,,,,,,,,CP-2(2),,,,,,,,,,,,,,,,,,SC-5,SC-5,"CP-2(2) SC-5",,,,,,,,,,,,,,,,,,8.8,"OPS-01 OPS-02 OPS-03",,,,25.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1579 1580 1581",,,,,,,,,,,"12.1.3 12.1.3.9.PB",,,,,,,,8.1.3,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-SA-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Capacity & Performance Planning,Performance Monitoring,CAP-04,"Automated mechanisms exist to centrally-monitor and alert on the operating state and health status of critical systems, applications and services.",,,"Does the organization use automated mechanisms to centrally-monitor and alert on the operating state and health status of critical systems, applications and services?",7,Detect,,X,X,"There is no evidence of a capability to centrally-monitor and alert on the operating state and health status of critical systems, applications and services.","SP-CMM1 is N/A, since a structured process is required to centrally-monitor and alert on the operating state and health status of critical systems, applications and services.","Capability & Performance Planning (CAP) are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Capacity management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for capability management. • IT personnel work with: o Business stakeholders to identify business-critical systems and services. o Business stakeholders to identify single points of failure from a system/applications/services perspective. • IT infrastructure personnel: o Create and maintain infrastructure performance metrics to understand current resource needs. o Deploy preventative technologies to minimize the effect of Denial of Service (DoS) attacks against business-critical services.","Capability & Performance Planning (CAP) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel work with business stakeholders to identify business-critical systems and services, as part of the organization’s IT Asset Management (ITAM) program. • Automated tools continuously monitor the operating state and health status of systems/applications/services. • Business stakeholders conduct a Business Impact Analysis (BIA) to determine acceptable downtime constraints and any dependencies between applications or systems, to objectively determine the criticality of systems, applications or services, as well as the order is which systems need to be restored. • Demand is managed for computing resources based on BIA-defined prioritization. • IT architects identify appropriate solutions to make sure service levels can be met. • IT infrastructure personnel: o Create an annual infrastructure growth plan with input from both technology and business stakeholders. o Create and maintain infrastructure performance metrics to understand current resource needs. o Produce a capacity plan that covers current use, forecasted needs and support costs for new systems, applications and services. • Automated tools continuously monitor the operating state and health status of systems, applications and services.","Capability & Performance Planning (CAP) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to centrally-monitor and alert on the operating state and health status of critical systems, applications and services.",,A1.1-POF1,,,,,,,,,SNT-03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-11 NT-12 NT-13 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,,,NT-11,NT-12,NT-13,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Change Management,Change Management Program ,CHG-01,Mechanisms exist to facilitate the implementation of a change management program.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - VisibleOps methodology - ITIL infrastructure library - NNT Change Tracker (https://www.newnettechnologies.com) - ServiceNow (https://www.servicenow.com/) - Remedy - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/) - Chef (https://www.chef.io/) (https://www.chef.io/) - Puppet (https://puppet.com/)",E-CHG-02,Does the organization facilitate the implementation of a change management program?,10,Protect,,X,X,There is no evidence of a capability to facilitate the implementation of a change management program.,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Change Management (CM) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization, including CM as part of a broader operational plan. • A Governance, Risk & Compliance (GRC) team, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to CM. • A steering committee is formally established, to provide executive oversight of the cybersecurity & data privacy program, including CM, which establishes a clear and authoritative accountability structure for CM operations. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of a change management program.","CC3.4 CC8.1","CC2.2-POF11 CC6.8-POF3 CC8.1-POF1 CC8.1-POF2 CC8.1-POF3 CC8.1-POF4 CC8.1-POF5 CC8.1-POF6 CC8.1-POF7 CC8.1-POF8 CC8.1-POF9 CC8.1-POF10 CC8.1-POF11 CC8.1-POF12 CC8.1-POF13 CC8.1-POF14 CC8.1-POF15",,,,,,,"Principle 9 Principle 15","CCC-01 CEK-06 CEK-06","CCM-02 CCM-08",SO14,,,,,,6.3,12.1.2 ,"8.19 8.32",12.1.2 ,,6.9.1.2,,,,"T1021.005, T1059.006, T1176, T1195.003, T1213, T1213.001, T1213.002, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.002, T1547.007, T1547.011, T1547.013, T1553, T1553.006, T1564.008, T1601, T1601.001, T1601.002","TS-2.6 TS-5.0",Sec 4(D)(2)(f),,PR.PO-P2,,,,CM-3,,CM-3,CM-3,CM-3,,,CM-3,CM-3,,,,CM-3,CM-3,"3.4.10 3.4.13",CM-3,,CM-3,,CM-3,CM-3,3.4.3,"3.4.2.b 3.4.3.a 3.4.3.b 3.4.3.c 3.4.3.d",,"A.03.04.03.b[01] A.03.04.03.b[02]","3.4.1e 3.4.2e",,PR.IP-3,,,,"1.2.2 6.5 6.5.1 6.5.2 6.5.3",,"1.2.2 6.5.1 6.5.2",,,"6.5.1 6.5.2",,"1.2.2 6.5.1 6.5.2 6.5.3","1.2.2 6.5.1 6.5.2 6.5.3",,G.1,,"5.2 5.2.1",,,,"ASSET-4.A.MIL1 ASSET-4.G.MIL2 ARCHITECTURE-5.H.MIL3","ADM:SG3.SP2 TM:SG4.SP2 TM:SG4.SP3",,,,CM.L2-3.4.3,"TBD - 3.4.1e TBD - 3.4.2e",,CM.L2-3.4.3,"CM.L2-3.4.3 CM.L3-3.4.1e CM.L3-3.4.2e",CM-3,,,,,,,"§ 11.10 § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)",CM-3 ,,CM-3 ,CM-3 ,,CM-3,,CM-3,CM-3,,,,,,314.4(c)(7),,,,,CM-3,,"CIP-010-2 R1","8-103 8-104 8-311 8-610",4.3,,,,,,,CM-3 ,CM-3 ,,,,,,,,,,,,,,,38-99-20(D)(2)(f),,,,,CM-3,,,,"3.4.4(37) 3.6.3(75) 3.6.3(76)",Art 9.4(e),,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,8.4,"DEV-03 DEV-08",,,,"10.6 14.6 14.7",,,,,,,,,,,,,,3.3.7,1-6-2,"1-5 1-5-1 1-5-2",,,"Sec 19.1 Sec 19.2",,7.3.5 [OP.EXP.5],,,,,,,,,,,,,,,1211,,,,,,,,,,,"12.1.2 12.1.2.11.PB",,,6.3.6.C.01,,,,,"7.5.1 7.5.2 7.5.3 7.5.4 7.5.5 7.5.6 7.5.7",,,,,,6.1,,"4.17 4.20 6.11",2.5.1,,,,,,,,,,,x,NAIC,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Change Management,Configuration Change Control ,CHG-02,Mechanisms exist to govern the technical configuration change control processes.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Change Control Board (CCB) - Configuration Management Database (CMDB) - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/) Enterprise - Chef (https://www.chef.io/) (https://www.chef.io/) - Puppet (https://puppet.com/) - Solarwinds (https://www.solarwinds.com/) - Docker (https://www.docker.com/) - VisibleOps methodology - ITIL infrastructure library",E-CHG-02,Does the organization govern the technical configuration change control processes?,8,Protect,,X,X,There is no evidence of a capability to govern the technical configuration change control processes.,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly. • Asset custodians are assigned responsibilities that cover change management duties, including privileged access to perform change management actions.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Asset custodians are assigned responsibilities that cover change management duties, including privileged access to perform change management actions.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern the technical configuration change control processes.","CC3.4 CC8.1","CC6.8-POF3 CC8.1-POF1 CC8.1-POF2 CC8.1-POF3 CC8.1-POF4 CC8.1-POF5 CC8.1-POF6 CC8.1-POF7 CC8.1-POF8 CC8.1-POF9 CC8.1-POF10 CC8.1-POF11 CC8.1-POF12 CC8.1-POF13 CC8.1-POF14 CC8.1-POF15",,,,,,,Principle 9,"CCC-02 CCC-05 CEK-05","CCM-02 CCM-08 GVN-05",SO14,,,,,,,"12.1.2 14.2.2 ","8.19 8.32","12.1.2 14.2.2 ",,6.11.2.2,,,,"T1021.005, T1059.006, T1176, T1195.003, T1213, T1213.001, T1213.002, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.002, T1547.007, T1547.011, T1547.013, T1553, T1553.006, T1564.008, T1601, T1601.001, T1601.002",TS-2.6,Sec 4(D)(2)(f),,PR.PO-P2,,,,CM-3,,CM-3,CM-3,"CM-3 SA-8(31)",,,CM-3,CM-3,SA-8(31),,,CM-3,CM-3,"3.4.10 3.4.13",CM-3,,CM-3,,CM-3,CM-3,3.4.3,"3.4.2.b 3.4.3.a 3.4.3.b 3.4.3.c 3.4.3.d","3.4.3[a] 3.4.3[b] 3.4.3[c] 3.4.3[d]",,"3.4.1e 3.4.2e",,PR.IP-3,,,"6.4 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.5.1 6.4.5.2 6.4.5.3 6.4.5.4 6.4.6","1.2.2 6.5 6.5.1 6.5.6",,6.5.1,,,6.5.1,,"6.5.1 6.5.6","6.5.1 6.5.6",,G.1.3.7,,5.2.1,,,,"ASSET-4.B.MIL1 ASSET-4.E.MIL2","ADM:SG3.SP2 TM:SG4.SP2 TM:SG4.SP3",2.1,,,CM.L2-3.4.3,"CM.L2-3.4.3 TBD - 3.4.1e TBD - 3.4.2e",,CM.L2-3.4.3,"CM.L2-3.4.3 CM.L3-3.4.1e CM.L3-3.4.2e",CM-3,,,,,,,"§ 11.10 § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)",CM-3 ,,CM-3 ,CM-3 ,,CM-3,,CM-3,CM-3,,,D1.G.IT.B.4,,,314.4(c)(7),,,,,CM-3,,,"8-103 8-104 8-311 8-610",,,,,,,,CM-3 ,,,,,,,,,,,,,,,,38-99-20(D)(2)(f),,,,,CM-3,,,,"3.4.4(37) 3.6.3(75) 3.6.3(76)",Art 9.4(e),,,,,,,,,,,,,8.5,DEV-08,,,,"10.6 14.7",,,,,,,,,,,,,TPC-73,,1-6-3-5,"1-5 1-5-1 1-5-2 1-5-3 1-5-3-1",,,,,,,,,,,,,,,,,,,,1211,,,,,,,,,,,"12.1.2 12.1.2.11.PB 14.2.2",,,"6.3.6.C.02 6.3.7.C.01 6.3.7.C.02 6.3.7.C.03",,,,,,,,,,,,,"4.18 4.20","2.5.1 2.5.3",,,,,,,,,,,x,NAIC,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Prohibition Of Changes,CHG-02.1,"Mechanisms exist to prohibit unauthorized changes, unless organization-approved change requests are received.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - VisibleOps methodology - ITIL infrastructure library - Manual processes/workflows - Application whitelisting",,"Does the organization prohibit unauthorized changes, unless organization-approved change requests are received?",10,Protect,,X,X,"There is no evidence of a capability to prohibit unauthorized changes, unless organization-approved change requests are received.","Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change. • Copying, deleting, moving and renaming operations are version controlled.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly. • Asset custodians are assigned responsibilities that cover change management duties, including privileged access to perform change management actions.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Asset custodians are assigned responsibilities that cover change management duties, including privileged access to perform change management actions. • File Integrity Monitoring (FIM) alerts are investigated for unauthorized changes. • FIM alerts are investigated for unauthorized changes and are configured to implement remediation actions up on the detection of unauthorized baseline configurations change(s). • FIM is deployed on systems that store, process or transmit sensitive/regulated/regulated data to monitor the integrity of business-critical files for tampering. • Endpoint technologies detect and report changes with a centralized Change Management (CM) service to discover unauthorized changes.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit unauthorized changes, unless organization-approved change requests are received.",CC6.8,,,,,,,,,"CCC-03 CCC-04",GVN-05,,,,,,,,,,,,,,,,,TS-2.6,,,,,,,CM-3(1),,,CM-3(1),CM-3(1),,,,CM-3(1),,,,,CM-3(1),,CM-3(1),,,,CM-3(1),CM-3(1),,3.4.2.b,,,,,,,,,"1.2.2 6.5 6.5.1",,"1.2.2 6.5.1",,,6.5.1,,"1.2.2 6.5.1","1.2.2 6.5.1",,G.1.3.8,,5.2.1,,,,"ASSET-4.E.MIL2 ARCHITECTURE-5.H.MIL3",,,,,,,,,,,,,,,,,,CM-3(1),,,CM-3(1),,CM-3(1),,,CM-3(1),,,,,,,,,,,,,,,4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.4(37) 3.6.3(75) 3.6.3(76)",,,,,,,,,,,,,,,IDM-02,,,,14.7,,,,,,,,,,,,,TPC-73,,,1-5-3-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.5.4,,,,,,,,,"2.5.1 2.5.2",,,,,,,,,,,,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,"Test, Validate & Document Changes ",CHG-02.2,Mechanisms exist to appropriately test and document proposed changes in a non-production environment before changes are implemented in a production environment.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - VisibleOps methodology - ITIL infrastructure library - NNT Change Tracker (https://www.newnettechnologies.com) - VMware - Docker (https://www.docker.com/)",E-CHG-03,Does the organization appropriately test and document proposed changes in a non-production environment before changes are implemented in a production environment?,9,Protect,,X,X,There is no evidence of a capability to appropriately test and document proposed changes in a non-production environment before changes are implemented in a production environment.,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change. • IT personnel use an informal process to verify the functionality of security controls when anomalies or misconfigurations are discovered.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly. • Up on implementing the RFC, the technician implementing a change tests to ensure anti-malware, logging and other cybersecurity & data privacy controls are still implemented and operating properly. • Results from testing changes are documented. • Up on completing the RFC, the CAB reports the results of cybersecurity & data privacy function verification to senior management.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Up on implementing the RFC, the technician implementing a change tests to ensure anti-malware, logging and other cybersecurity & data privacy controls are still implemented and operating properly. • Results from testing changes are documented. • A structured set of controls are tested after a change is implemented to ensure cybersecurity controls are operating properly. • Results from testing changes are documented. • CM leverages Information Technology Infrastructure Library (ITIL) Service Management practices to govern CM operations (includes SecDevOps considerations). • Up on completing the RFC, the CAB reports the results of cybersecurity & data privacy function verification to senior management. • Up on implementing the RFC, the technician implementing a change tests to ensure anti-malware, logging and other cybersecurity & data privacy controls are still implemented and operating properly. • A vulnerability assessment is conducted on systems/applications/services to detect any new vulnerabilities that a change may have introduced.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to appropriately test and document proposed changes in a non-production environment before changes are implemented in a production environment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to appropriately test and document proposed changes in a non-production environment before changes are implemented in a production environment.","CC3.4 CC8.1",,,,,,,,Principle 9,CCC-02,CCM-08,,1.2.6,,,,,,14.2.3 ,"8.19 8.32",14.2.3 ,,6.11.2.3,,,,,TS-5.0,,,,,,,"CM-3(2) CM-5(2)",,,"CM-3(2) CM-5(2)","CM-3(2) CM-3(7) SA-8(31)",,,CM-3(2),CM-3(2),"CM-3(7) SA-8(31)",,,CM-3(2),CM-3(2),,CM-3(2),,,,CM-3(2),CM-3(2),NFO - CM-3(2),,,"A.03.04.03.c[01] A.03.04.03.c[02]",,,,,,,"6.5 6.5.1 6.5.2 A3.2.2.1",,"6.5.1 6.5.2",,,"6.5.1 6.5.2",,"6.5.1 6.5.2","6.5.1 6.5.2",,G.1.5,,,,,,"ASSET-4.B.MIL1 ASSET-4.C.MIL2 ASSET-4.D.MIL2 ASSET-4.E.MIL2 ASSET-4.F.MIL2 ASSET-4.G.MIL2 ASSET-4.H.MIL3 ASSET-4.I.MIL3",,,,,,,,,,CM-3(2),,,,,,,,"CM-3(2) CM-5(2)",,,"CM-3(2) CM-5(2)",,CM-3(2),,CM-3(2),CM-3(2),,,,,,,,,,,CM-3(2),,,,,,,,,,,CM-3(2),CM-3(2),,,,,,,,,,,,,,,,,,,,CM-3(2),,,,"3.4.4(37) 3.6.3(75) 3.6.3(76)",,,,,,,,,,,,,,,"DEV-06 DEV-08 DEV-09",,,,"10.6 12.21 12.30 14.6 14.8 14.9 14.10",,,,,,,,,,,,1-3-1-2,TPC-73,,"1-6-2-1 1-6-3-5",1-5-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.2.3,,,6.3.8.C.01,,,,,"7.4.2 7.5.3 7.5.5 7.5.7",,,,,,,,6.11,2.5.3,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Cybersecurity & Data Privacy Representative for Asset Lifecycle Changes,CHG-02.3,Mechanisms exist to include a cybersecurity and/or data privacy representative in the configuration change control review process.,"- Change Control Board (CCB) - Change Advisory Board (CAB) - VisibleOps methodology - ITIL infrastructure library",E-CHG-04,Does the organization include a cybersecurity and/or data privacy representative in the configuration change control review process?,7,Protect,,X,X,There is no evidence of a capability to include a cybersecurity and/ or data privacy representative in the configuration change control review process.,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include a cybersecurity and/ or data privacy representative in the configuration change control review process.",CC3.4,,,,,,,,Principle 9,,CCM-08,,,,,,,,,,,,,,,,,,,,,,,,CM-3(4),,,,CM-3(4),,,CM-3(4),CM-3(4),,,,CM-3(4),CM-3(4),,CM-3(4),,,,CM-3(4),CM-3(4),,3.4.4,,,,,,,,,,,,,,,,,,,G.1.10,,,,,,ASSET-4.E.MIL2,,,,,,,,,,,,,,,,,,CM-3(4),,,CM-3(4),,CM-3(4),,CM-3(4),CM-3(4),,,,,,,,,,,CM-3(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.4(37) 3.6.3(75) 3.6.3(76)",,,,,,,,,,,,,,,"DEV-05 DEV-09",,,,14.8,,,,,,,,,,,,,,,1-6-2-2,1-5-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.5.4,,,,,,,,"2.4 6.11",1.3.1,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Automated Security Response,CHG-02.4,Automated mechanisms exist to implement remediation actions upon the detection of unauthorized baseline configurations change(s).,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization use automated mechanisms to implement remediation actions upon the detection of unauthorized baseline configurations change(s)?,5,Protect,,X,X,There is no evidence of a capability to implement remediation actions up on the detection of unauthorized baseline configurations change(s).,"SP-CMM1 is N/A, since a structured process is required to implement remediation actions up on the detection of unauthorized baseline configurations change(s).","SP-CMM2 is N/A, since a well-defined process is required to implement remediation actions up on the detection of unauthorized baseline configurations change(s).","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • File Integrity Monitoring (FIM) alerts are investigated for unauthorized changes. • FIM alerts are investigated for unauthorized changes and are configured to implement remediation actions up on the detection of unauthorized baseline configurations change(s). • FIM is deployed on systems that store, process or transmit sensitive/regulated/regulated data to monitor the integrity of business-critical files for tampering. • Endpoint technologies detect and report changes with a centralized Change Management (CM) service to discover unauthorized changes.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement remediation actions up on the detection of unauthorized baseline configurations change(s).",,,,,,,,,,"CCC-04 CCC-06 CCC-09",GVN-05,,,,,,,,,,,,,,,,,,,,,,,,CM-3(5),,,,CM-3(5),,,,,CM-3(5),,,,,,,,,,,,,,,,3.4.2e,,,,,,,,,,,,,,,,G.1.8,,,,,,,,,,,,TBD - 3.4.2e,,,CM.L3-3.4.2e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-5-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Change Management,Cryptographic Management,CHG-02.5,Mechanisms exist to govern assets involved in providing cryptographic protections according to the organization's configuration management processes. ,,,Does the organization govern assets involved in providing cryptographic protections according to the organization's configuration management processes? ,5,Protect,,X,X,There is no evidence of a capability to govern assets involved in providing cryptographic protections according to the organization's configuration management processes. ,"SP-CMM1 is N/A, since a structured process is required to govern assets involved in providing cryptographic protections according to the organization's configuration management processes. ","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Cryptographic primitives are employed to track file revisions and authentications.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern assets involved in providing cryptographic protections according to the organization's configuration management processes. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern assets involved in providing cryptographic protections according to the organization's configuration management processes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-3(6),,,,CM-3(6),,,,CM-3(6),,,,,CM-3(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,U.1.19,,,,,,,,,,,,,,,,,,,,,,,,CM-3(6),,,CM-3(6),,CM-3(6),,,CM-3(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AM-2 R-AM-3",R-AC-1,,,,,R-AM-2,R-AM-3,,,,,,,,,,,,,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Security Impact Analysis for Changes ,CHG-03,"Mechanisms exist to analyze proposed changes for potential security impacts, prior to the implementation of the change.","- VisibleOps methodology - ITIL infrastructure library - Change management software",,"Does the organization analyze proposed changes for potential security impacts, prior to the implementation of the change?",9,Protect,,,X,"There is no evidence of a capability to analyze proposed changes for potential security impacts, prior to the implementation of the change.","Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Up on implementing the RFC, the technician implementing a change tests to ensure anti-malware, logging and other cybersecurity & data privacy controls are still implemented and operating properly. • Results from testing changes are documented.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to analyze proposed changes for potential security impacts, prior to the implementation of the change.",CC3.4,CC3.4-POF4,,,,,,,Principle 9,"CCC-03 CCC-05",,,1.2.6,,,,,,,,,,,,,,,TS-5.0,,,,,,,CM-4,CM-4,CM-4,CM-4,CM-4,CM-4,CM-4,CM-4,CM-4,,,CM-4,CM-4,CM-4,"3.4.10 3.4.13",CM-4,CM-4,,,,CM-4,3.4.4,3.4.4,3.4.4,A.03.04.04,,,,,,"6.4 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.5.1 6.4.5.2 6.4.5.3 6.4.5.4","6.5.2 6.5.6 A3.2.2 A3.2.3",,6.5.2,,,6.5.2,,"6.5.2 6.5.6","6.5.2 6.5.6",,G.1.7,,,,,,ASSET-4.E.MIL2,"TM:SG3.SP1 TM:SG4.SP3",,,,CM.L2-3.4.4,CM.L2-3.4.4,,CM.L2-3.4.4,CM.L2-3.4.4,CM-4,,,,,,,,CM-4 ,CM-4 ,CM-4 ,CM-4 ,CM-4 ,CM-4,CM-4,CM-4,CM-4,CM-4,,,,,,,,,,CM-4,,,"8-103 8-104 8-311 8-610",,,,,,,CM-4 ,CM-4 ,CM-4 ,,,,,,,,,,,,,,,,,,CM-4,CM-4,CM-4,,,,"3.4.4(37) 3.6.3(75) 3.6.3(76)",,,,,,,,,,,,,,,"DEV-05 BCM-02",,,,"10.6 14.8",,,,,,,,,,,,1-3-1-2,,,,"1-5-2 1-5-4",,,,,,,,,,,,,,,,,,,,,,,21(d),,,,,,,,,,,,,,,,7.5.2,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Access Restriction For Change,CHG-04,Mechanisms exist to enforce configuration restrictions in an effort to restrict the ability of users to conduct unauthorized changes.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - VisibleOps methodology - ITIL infrastructure library - Role-based permissions - Mandatory Access Control (MAC) - Application whitelisting",,Does the organization enforce configuration restrictions in an effort to restrict the ability of users to conduct unauthorized changes?,8,Protect,,X,X,There is no evidence of a capability to enforce configuration restrictions in an effort to restrict the ability of users to conduct unauthorized changes.,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce configuration restrictions in an effort to restrict the ability of users to conduct unauthorized changes.",,,,,,,,,,CCC-04,,,,,,,,,,,,,,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1047, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.006, T1059.008, T1072, T1078, T1078.002, T1078.003, T1078.004, T1098, T1098.001, T1098.002, T1098.003, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1137.002, T1176, T1185, T1190, T1195.003, T1197, T1210, T1213, T1213.001, T1213.002, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1525, T1528, T1530, T1537, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.003, T1547.004, T1547.006, T1547.007, T1547.009, T1547.011, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.002, T1552.007, T1553, T1553.006, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1564.008, T1569, T1569.001, T1569.002, T1574, T1574.005, T1574.010, T1574.011, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1611, T1619",,,,,,,,CM-5,,CM-5,CM-5,CM-5,,CM-5,CM-5,CM-5,,,CM-5,CM-5,CM-5,"3.4.10 3.4.13",CM-5,CM-5,,,CM-5,CM-5,3.4.5,"3.4.2.b 3.4.5","3.4.5[a] 3.4.5[b] 3.4.5[c] 3.4.5[d] 3.4.5[e] 3.4.5[f] 3.4.5[g] 3.4.5[h]","A.03.04.05[01] A.03.04.05[02] A.03.04.05[03] A.03.04.05[04] A.03.04.05[05] A.03.04.05[06]",,,,,,,1.2.8,,1.2.8,,,,,1.2.8,1.2.8,,G.1.3.1,,,,,,"ASSET-4.E.MIL2 ARCHITECTURE-5.H.MIL3",TM:SG4.SP1,,5.7.1,,CM.L2-3.4.5,CM.L2-3.4.5,,CM.L2-3.4.5,CM.L2-3.4.5,CM-5,,,,,,,,CM-5 ,,CM-5 ,CM-5 ,,CM-5,CM-5,CM-5,CM-5,CM-5,,,,,,,,,,CM-5,,,"8-311 8-610",,,,,,,,CM-5 ,CM-5 ,,,,,,,,,,,,,,,,,,CM-5,,CM-5,,,,,,,,,,,,,,,,,,,DEV-09,,,,,,,,,,,,,,,,,,,,1-5-3-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.5.2,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-4 R-AM-2 R-AM-3",R-AC-1,R-AC-2,,R-AC-4,,R-AM-2,R-AM-3,,,,,,,,,,,,,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Automated Access Enforcement / Auditing ,CHG-04.1,Mechanisms exist to perform after-the-fact reviews of configuration change logs to discover any unauthorized changes.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - VisibleOps methodology - ITIL infrastructure library - NNT Change Tracker (https://www.newnettechnologies.com) - Manual review processes - Tripwire Enterprise (https://www.tripwire.com/products/tripwire-enterprise/) - Puppet (https://puppet.com/) - Chef (https://www.chef.io/) (https://www.chef.io/)",,Does the organization perform after-the-fact reviews of configuration change logs to discover any unauthorized changes?,3,Detect,,,X,There is no evidence of a capability to perform after-the-fact reviews of configuration change logs to discover any unauthorized changes.,"SP-CMM1 is N/A, since a structured process is required to perform after-the-fact reviews of configuration change logs to discover any unauthorized changes.","SP-CMM2 is N/A, since a well-defined process is required to perform after-the-fact reviews of configuration change logs to discover any unauthorized changes.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform after-the-fact reviews of configuration change logs to discover any unauthorized changes.",,,,,,,,,,"CCC-04 CCC-09",,,,CR 3.4 (7.6.3(2)),,,,,,,,,,,,,,,,,,,,,CM-5(1),,,CM-5(1),CM-5(1),,,,CM-5(1),,,,,CM-5(1),,CM-5(1),,,,,CM-5(1),,,,,,,,,,,,,,,,,,,,,M.1.20,,,,,,,,,,,,,,,,CM-5(1),,,,,,,,CM-5(1) ,,CM-5(1) ,CM-5(1) ,,CM-5(1),,CM-5(1),CM-5(1),,,,,,,,,,,,,,,,,,,,,,,CM-5(1) ,,,,,,,,,,,,,,,,,,,,CM-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-5-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.11,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Change Management,Signed Components ,CHG-04.2,Mechanisms exist to prevent the installation of software and firmware components without verification that the component has been digitally signed using an organization-approved certificate authority.,"- Privileged Account Management (PAM) - Patch management tools - OS configuration standards",,Does the organization prevent the installation of software and firmware components without verification that the component has been digitally signed using an organization-approved certificate authority?,3,Protect,,,X,There is no evidence of a capability to prevent the installation of software and firmware components without verification that the component has been digitally signed using an organization-approved certificate authority.,"SP-CMM1 is N/A, since a structured process is required to prevent the installation of software and firmware components without verification that the component has been digitally signed using an organization-approved certificate authority.","SP-CMM2 is N/A, since a well-defined process is required to prevent the installation of software and firmware components without verification that the component has been digitally signed using an organization-approved certificate authority.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Administrative processes exist and technologies configured to prevent the installation of software and firmware components without verification that the component has been digitally signed using a certificate that is recognized and approved by the organization.","Change Management (CHG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the installation of software and firmware components without verification that the component has been digitally signed using an organization-approved certificate authority.",,,,,,,,,,,,,,"CR 3.4 (7.6.1) CR 3.4 (7.6.3(1)) SAR 2.4 (12.2.3(1)) EDR 3.13 (13.8.1) HDR 3.10 (14.5.3(1))",,,,,,,,,,,,,,,,,,,,,CM-5(3),,,CM-5(3),"CM-14 SI-7(15)",,,,SI-7(15),CM-14,,,,SI-7(15),,"CM-14 SI-7(15)",,,,,"CM-14 SI-7(15)",,,,,,,,,,,,,,,,,,,,,M.3.17,,,,,,,,,,,,,,,,,,,,,,,,CM-5(3) ,,CM-5(3) ,CM-5(3) ,,"CM-14 SI-7(15)",,,"CM-14 SI-7(15)",,,,,,,,,,,CM-14,,,,,,,,,,,,CM-5(3) ,,,,,,,,,,,,,,,,,,,,CM-5(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-EX-7",,,,,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,R-EX-7,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Dual Authorization for Change,CHG-04.3,Mechanisms exist to enforce a two-person rule for implementing changes to critical assets.,- Separation of Duties (SoD),,Does the organization enforce a two-person rule for implementing changes to critical assets?,6,Protect,,X,X,There is no evidence of a capability to enforce a two-pers on rule for implementing changes to critical assets.,"SP-CMM1 is N/A, since a structured process is required to enforce a two-pers on rule for implementing changes to critical assets.","SP-CMM2 is N/A, since a well-defined process is required to enforce a two-pers on rule for implementing changes to critical assets.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Critical systems are configured to use dual authorization mechanisms requiring the approval of two authorized individuals in order to execute a change.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce a two-pers on rule for implementing changes to critical assets.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce a two-pers on rule for implementing changes to critical assets.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"AC-5 CM-5(4)",,AC-5,AC-5,"AC-5 CM-5(4)",,,AC-5,AC-5,CM-5(4),,,AC-5,AC-5,,AC-5,,AC-5,,AC-5,AC-5,,,,,3.1.1e,,,,,,,,,,,,,,,,1.1.2.4,,,,,,,"AM:SG1.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3",,,,,TBD - 3.1.1e,,,,AC-5,,,,,,,,AC-5,,AC-5,AC-5,,AC-5,,AC-5,AC-5,,,,,,,,,,,AC-5,,,8-611,,,,,,,,AC-5,AC-5,,,,,,,,,,,,,,,,,,AC-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-2-1-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-2 R-GV-3 R-GV-6 R-GV-7 R-IR-1",R-AC-1,R-AC-2,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,,R-GV-2,R-GV-3,,,R-GV-6,R-GV-7,,R-IR-1,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Limit Production / Operational Privileges (Incompatible Roles),CHG-04.4,Mechanisms exist to limit operational privileges for implementing changes.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Separation of Duties (SoD) - Privileged Account Management (PAM)",,Does the organization limit operational privileges for implementing changes?,6,Protect,,X,,There is no evidence of a capability to limit operational privileges for implementing changes.,"SP-CMM1 is N/A, since a structured process is required to limit operational privileges for implementing changes.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit operational privileges for implementing changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit operational privileges for implementing changes.",,,,,,,,DSS06.03,,CCC-04,IAM-04,,,CR 2.1 (6.3.3(4)),,,,,,,,,,,,,,,,,,,,,CM-5(5),,,,CM-5(5),,,,,CM-5(5),,,,,,,,,,,,,3.4.5,,,,"PO.2 PO.2.1",,,,,,,,,,,,,,,1.1.2.6,,,,,,ARCHITECTURE-5.H.MIL3,,,,,,,,,,CM-5(5),,,,,,,,CM-5(5) ,,CM-5(5) ,CM-5(5) ,,CM-5(5),,CM-5(5),CM-5(5),,,,,,,,,,,CM-5(5),,,,,,,,,,,,CM-5(5) ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"DEV-09 PSS-08",,,,10.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 27,,,,,,,,,,,,,,,,,,,,,,,,2.5.2,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-2 R-GV-3 R-GV-6 R-GV-7 R-IR-1",R-AC-1,R-AC-2,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,,R-GV-2,R-GV-3,,,R-GV-6,R-GV-7,,R-IR-1,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Library Privileges,CHG-04.5,Mechanisms exist to restrict software library privileges to those individuals with a pertinent business need for access. ,- Privileged Account Management (PAM),,Does the organization restrict software library privileges to those individuals with a pertinent business need for access? ,8,Protect,,,X,There is no evidence of a capability to restrict software library privileges to those individuals with a pertinent business need for access. ,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change. • IT personnel use an informal process to govern changes to the software library to prevent unauthorized changes and create an audit trail of changes made. • LAC is governed to limit the ability of non-administrators from accessing or editing the software library.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly. • IT personnel use a Source Code Manager (SCM) solution to govern modifying, copying, deleting, moving and renaming items in the software library. • SCM supports integrity checking on the source code repository. • SCM uses Role-Based Access Controls (RBAC) to limit the logical access and permissions for users in the software library.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • The CM program includes changes associated with the software library. • IT personnel use a Source Code Manager (SCM) solution to provide application lifecycle support including source code management, project management, reporting, automated builds, testing, release management and requirement management. • SCM governs modifying, copying, deleting, moving and renaming items in the software library. • SCM supports atomic commits . • SCM supports integrity checking on the source code repository. • SCM uses Role-Based Access Controls (RBAC) to limit the logical access and permissions for users in the software library.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict software library privileges to those individuals with a pertinent business need for access. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict software library privileges to those individuals with a pertinent business need for access. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-1.14,,,,PS.1.1,,,CM-5(6),,,,CM-5(6),,,,,CM-5(6),,,,,,CM-5(6),,,,,CM-5(6),,,,,,"PS.1 PS.1.1",,,,,,,,,,,,,,,1.1.24.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"DEV-07 DEV-08",,,,,,,,,,,,,,,,1-3-2-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-2 R-GV-3 R-GV-6 R-GV-7 R-IR-1",R-AC-1,R-AC-2,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,,R-GV-2,R-GV-3,,,R-GV-6,R-GV-7,,R-IR-1,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Stakeholder Notification of Changes ,CHG-05,Mechanisms exist to ensure stakeholders are made aware of and understand the impact of proposed changes. ,"- Change management procedures - VisibleOps methodology - ITIL infrastructure library",,Does the organization ensure stakeholders are made aware of and understand the impact of proposed changes? ,9,Protect,,X,X,There is no evidence of a capability to ensure stakeholders are made aware of and understand the impact of proposed changes. ,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure stakeholders are made aware of and understand the impact of proposed changes. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure stakeholders are made aware of and understand the impact of proposed changes. ",CC8.1,CC2.2-POF11,,,,,,"EDM05.01 EDM05.02 EDM05.03",,"CCC-05 CEK-06 TVM-09",,,,,,,,,,,,,,,,,,,,GOVERN 5.0,,,,,CM-9,,CM-9,CM-9,CM-9,,,CM-9,CM-9,,,,CM-9,CM-9,"3.4.10 3.4.13",CM-9,,CM-9,,CM-9,CM-9,NFO - CM-9,,,,,,,,,,,,,,,,,,,,1.1.2.5,,,,,,,TM:SG4.SP2,,,,,,,,,CM-9,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-GV-2 R-GV-3 R-GV-6 R-GV-7 R-IR-1",R-AC-1,R-AC-2,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,,,R-GV-2,R-GV-3,,,R-GV-6,R-GV-7,,R-IR-1,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Cybersecurity Functionality Verification,CHG-06,Mechanisms exist to verify the functionality of cybersecurity controls when anomalies are discovered.,"- Information Assurance Program (IAP) - Security Test & Evaluation (STE)",,Does the organization verify the functionality of cybersecurity controls when anomalies are discovered?,9,Protect,,X,,There is no evidence of a capability to verify the functionality of security controls when anomalies are discovered.,"Change Management (CHG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to: o Govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Notify stakeholders about proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Requests for Change (RFC) are submitted to IT personnel. • prior to changes being made, RFCs are informally reviewed for cybersecurity & data privacy ramifications. • Whenever possible, IT personnel test changes to business-critical systems/services/applications on a similarly configured IT environment as that of Production, prior to widespread production release of the change.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Up on implementing the RFC, the technician implementing a change tests to ensure anti-malware, logging and other cybersecurity & data privacy controls are still implemented and operating properly. • A structured set of controls are tested after a change is implemented to ensure cybersecurity controls are operating properly. • Results from testing changes are documented. • A vulnerability assessment is conducted on systems/applications/services to detect any new vulnerabilities that a change may have introduced.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verify the functionality of security controls when anomalies are discovered.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify the functionality of security controls when anomalies are discovered.",,,,,,,,,,,,,,"CR 3.3 (7.5.1) CR 3.3 (7.5.3(1))",,,,,,,,,,,,,,,,,,,,,"CM-3(2) SI-6",,CM-3(2),"CM-3(2) SI-6","CM-3(2) SI-6 SA-8(31)",,,CM-3(2),"CM-3(2) SI-6",SA-8(31),,,CM-3(2),"CM-3(2) SI-6","3.4.10 3.4.13",,,,,,,,,,A.03.04.03.d[01],,,,,,,"6.5.2 10.7.3 A3.2.2.1",,6.5.2,,,6.5.2,,6.5.2,6.5.2,,G.2.6.1,,,,,,,TM:SG2.SP2,,,,,,,,,"CM-3(2) SI-6",,,,,,,,"CM-3(2) SI-6",,SI-6 ,"CM-3(2) SI-6",,"CM-3(2) SI-6",,SI-6,"CM-3(2) SI-6",,,,,,,,,,,CM-3(2),,,8-613,,,,,,,,CM-3(2),"CM-3(2) SI-6",,,,,,,,,,,,,,,,,,,,"CM-3(2) SI-6",,,,,,,,,,,,,,,,,,,,,,,"10.6 12.30 14.10",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.5.5,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-2 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Change Management,Report Verification Results,CHG-06.1,Mechanisms exist to report the results of cybersecurity & data privacy function verification to appropriate organizational management.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization report the results of cybersecurity & data privacy function verification to appropriate organizational management?,5,Identify,,X,,There is no evidence of a capability to report the results of cybersecurity & data privacy function verification to appropriate organizational management.,"SP-CMM1 is N/A, since a structured process is required to report the results of cybersecurity & data privacy function verification to appropriate organizational management.","Change Management (CHG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Change management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for change management. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. • A CAB, or similar function, reviews RFCs for cybersecurity & data privacy ramifications. • A CAB, or similar function, notifies stakeholders to ensure awareness of the impact of proposed changes. • Logical Access Control (LAC) limits the ability of non-administrators from making unauthorized configuration changes to systems, applications and services. • Cybersecurity controls are tested after a change is implemented to ensure cybersecurity controls are operating properly. • Up on completing the RFC, the CAB reports the results of cybersecurity & data privacy function verification to senior management.","Change Management (CHG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • Logical Access Control (LAC) is governed to limit the ability of non-administrators from making configuration changes to systems, applications and services. • A formal Change Management (CM) program ensures that no unauthorized changes are made, that all changes are documented, that services are not disrupted and that resources are used efficiently. • The CM function has formally defined roles and associated responsibilities. • Changes are tracked through a centralized technology solution to submit, review, approve and assign Requests for Change (RFC). • A Change Advisory Board (CAB), or similar function: o Exists to govern changes to systems, applications and services to ensure their stability, reliability and predictability. o Reviews RFC for cybersecurity & data privacy ramifications. o Notifies stakeholders to ensure awareness of the impact of proposed changes. • IT personnel use dedicated development/test/staging environments to deploy and evaluate changes, wherever technically possible. • Up on completing the RFC, the CAB reports the results of cybersecurity & data privacy function verification to senior management. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to report the results of cybersecurity & data privacy function verification to appropriate organizational management.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to report the results of cybersecurity & data privacy function verification to appropriate organizational management.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-6(3),,,,,SI-6(3),,,,,,,,,,,,,,,"A.03.04.03.d[01] A.03.04.03.d[02]",,,,,,,6.5.2,,6.5.2,,,6.5.2,,6.5.2,6.5.2,,G.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-GV-3 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-3",,,,,,,R-AM-3,,,,,,,,,,,,,,,R-GV-3,,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Cloud Services,CLD-01,Mechanisms exist to facilitate the implementation of cloud management controls to ensure cloud instances are secure and in-line with industry practices. ,- Data Protection Impact Assessment (DPIA),E-AST-06,Does the organization facilitate the implementation of cloud management controls to ensure cloud instances are secure and in-line with industry practices? ,10,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of cloud management controls to ensure cloud instances are secure and in-line with industry practices. ,"Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations. • Technologies exist to support: o A secure infrastructure, including a managed security zone to house cybersecurity & data privacy tools. o A standardized virtualization format. o Cloud access points, including a managed security zone with o Data handling & portability, including a managed security zone to house cybersecurity & data privacy tools o Integrity of multi-tenant CSP assets, including a managed security zone to house cybersecurity & data privacy tools o Integrity of VM images, including a managed security zone to house cybersecurity & data privacy tools. o Processing and storage of service location, including a managed security zone to house cybersecurity & data privacy tools.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for cloud security practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization to ensure that cloud security is incorporated. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data to ensure that compliance requirements for cloud security are identified and documented. • A Chief Information Officer (CIO), or similar function, defines the authoritative architecture for use with on-premise, cloud-native and hybrid models, providing governance oversight for operations planning, deployment and maintenance of cloud-based technology assets supporting cybersecurity and data protection requirements. • A Chief Technology Officer (CTO), or similar function, aligns with the CIO’s architectural model to evaluate and implement new cloud-based technologies. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including cloud security, as well as establish a clear and authoritative accountability structure for cloud security operations. • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function, governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. • CAB review processes identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the implementation of cloud management controls to ensure cloud instances are secure and in-line with industry practices. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of cloud management controls to ensure cloud instances are secure and in-line with industry practices. ",,,,,,,,,,"IPY-01 IPY-04 IVS-06 IVS-07 IVS-08 STA-05 STA-06","CLS-01 CLS-05 CLS-12",,,,,,,,,5.23,"7.2.2 CLD.12.1.5 CLD.12.4.5",,,,,,,TS-1.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,NFO – PL-8,,,,,,,,,"2.6 12.8.1","1.2.1 12.8.1",12.8.1,"1.2.1 12.8.1",12.8.1,12.8.1,12.8.1,12.8.1,"1.2.1 12.8.1","1.2.1 12.8.1",12.8.1,J.1,,5.3.4,,,,,,,5.10.1.5,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,4.L.A,"2.E.6.1 3.3.1",,,,,,,,,"5.8 5.12",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,,"COS-01 COS-02",,,,11.2,,,,,,,,,,,,4-2,TPC-43,"3.3.4 3.3.8 3.4.3","4-2-1 4-2-2 4-2-3 4-2-3-2 4-2-4",,,,"Sec 19.1 Sec 19.2",,,,,,,,,,,,,,,,,"1529 1437 1579 1580 1581",,,,,,,,,,,"4.1 4.2 7.2.2.19.PB 8.1.5.P 8.1.2.7.PB 9.5.P 9.5.1.P 9.5.2.P 9.5.2.1.PB 12.4.5.P 13.1.4.P 15.1.1.16.B",,18.1,"22.1.20.C.01 22.1.20.C.02 22.1.20.C.03 22.1.20.C.04 22.1.20.C.05 22.1.21.C.01 22.1.21.C.02 22.1.21.C.03 22.1.21.C.04 22.1.21.C.05 22.1.21.C.06 22.1.21.C.07 22.1.24.C.01 22.1.24.C.02 22.1.24.C.03 22.1.24.C.04 22.1.25.C.01 22.1.25.C.02 22.1.26.C.01 22.1.26.C.02 22.1.26.C.03 22.1.27.C.01 23.1.54.C.01 23.1.54.C.02 23.2.19.C.01",,,,,,,,,,,5.11,,,,,,,,,,,,,,x,FAR 52.204-21,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Cloud Security,Cloud Infrastructure Onboarding,CLD-01.1,"Mechanisms exist to ensure cloud services are designed and configured so systems, applications and processes are secured in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.",,,"Does the organization ensure cloud services are designed and configured so systems, applications and processes are secured in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations?",9,Protect,X,X,,"There is no evidence of a capability to ensure cloud services are designed and configured so systems, applications and processes are secured in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","SP-CMM1 is N/A, since a structured process is required to ensure cloud services are designed and configured so systems, applications and processes are secured in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","SP-CMM2 is N/A, since a well-defined process is required to ensure cloud services are designed and configured so systems, applications and processes are secured in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned to qualified individuals. • IT architects, in conjunction with cybersecurity architects, ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. • IT architects, in conjunction with cybersecurity architects, ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. • IT architects, in conjunction with cybersecurity architects, implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • IT infrastructure personnel and Data Protection Officers (DPOs) work with business stakeholders to identify business-critical systems and services, as well as associated sensitive/regulated data, including Personal Data (PD). • The DPO function oversees the storage, processing and transmission of PD in CSPs. • An IT Asset Management (ITAM) function, or similar function, governs cloud-based assets leveraging an established Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets to provide oversight of purchasing, updating, repairing and disposing of cloud-based assets. • Formal Change Management (CM) program governs cloud-based systems, applications and services and ensures that no unauthorized changes are made, that all changes are documented, that services are not unnecessarily disrupted and that resources are used efficiently. • An IT infrastructure team, or similar function, enables the implementation of a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cloud services are designed and configured so systems, applications and processes are secured in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cloud services are designed and configured so systems, applications and processes are secured in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-43,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"23.4.9.C.01 23.4.9.C.02 23.4.9.C.03 23.4.10.C.01 23.5.11.C.01 23.5.12.C.01 23.5.12.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Cloud Infrastructure Offboarding,CLD-01.2,"Mechanisms exist to ensure cloud services are decommissioned so that data is securely transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.",,,"Does the organization ensure cloud services are decommissioned so that data is securely transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations?",9,Protect,X,X,,"There is no evidence of a capability to ensure cloud services are decommissioned so that data is securely transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","SP-CMM1 is N/A, since a structured process is required to ensure cloud services are decommissioned so that data is securely transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","SP-CMM2 is N/A, since a well-defined process is required to ensure cloud services are decommissioned so that data is securely transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned to qualified individuals.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cloud services are decommissioned so that data is securely transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cloud services are decommissioned so that data is securely transitioned to new systems or archived in accordance with applicable organizational standards, as well as statutory, regulatory and contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"23.4.13.C.01 23.4.13.C.02 23.4.13.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,,,R-AM-1,R-AM-3,R-AM-2,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,"MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Cloud Security Architecture ,CLD-02,"Mechanisms exist to ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. ","- Architectural review board - System Security Plan (SSP) - Security architecture roadmaps",E-TDA-09,"Does the organization ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments? ",8,Protect,,X,,"There is no evidence of a capability to ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. ","Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations. • Technologies exist to support: o A secure infrastructure, including a managed security zone to house cybersecurity & data privacy tools. o A standardized virtualization format. o Cloud access points, including a managed security zone with o Data handling & portability, including a managed security zone to house cybersecurity & data privacy tools o Integrity of multi-tenant CSP assets, including a managed security zone to house cybersecurity & data privacy tools o Integrity of VM images, including a managed security zone to house cybersecurity & data privacy tools. o Processing and storage of service location, including a managed security zone to house cybersecurity & data privacy tools.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • IT architects, in conjunction with cybersecurity architects, ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. • IT architects, in conjunction with cybersecurity architects, ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. • IT architects, in conjunction with cybersecurity architects, implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • IT infrastructure personnel and Data Protection Officers (DPOs) work with business stakeholders to identify business-critical systems and services, as well as associated sensitive/regulated data, including Personal Data (PD). • The DPO function oversees the storage, processing and transmission of PD in CSPs. • An IT Asset Management (ITAM) function, or similar function, governs cloud-based assets leveraging an established Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets to provide oversight of purchasing, updating, repairing and disposing of cloud-based assets. • Formal Change Management (CM) program governs cloud-based systems, applications and services and ensures that no unauthorized changes are made, that all changes are documented, that services are not unnecessarily disrupted and that resources are used efficiently. • An IT infrastructure team, or similar function, enables the implementation of a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. ",,,,,,,,,,"IVS-06 IVS-07 IVS-08","CLS-01 CLS-05 CLS-12",,,,,,,,,5.23,"CLD.9.5.1 CLD.13.1.4",,,,,,,"TS-1.9 TS-2.12",,,,,,,,,,,,,,,,,,,,,,,,,,,,NFO – PL-8,,,,,,,,,,,,,,,,,,,,N.1,,5.3.4,,,,,,,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,4.L.A,"2.E.6.1 3.3.1",,,,,,,,,5.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"COS-01 COS-02",,,,,,,,,,,,,,,,,,"3.3.4 3.3.8 3.4.3",4-2-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.1.2.7.PB 9.5.P 9.5.1.P 9.5.2.P 9.5.2.1.PB 12.4.5.P 13.1.4.P",,,"22.1.23.C.01 22.1.23.C.02 22.1.23.C.03 23.1.54.C.01 23.1.54.C.02 23.1.56.C.01 23.2.20.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 Lockton",,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Cloud Infrastructure Security Subnet,CLD-03,Mechanisms exist to host security-specific technologies in a dedicated subnet.,- Security management subnet,,Does the organization host security-specific technologies in a dedicated subnet?,6,Protect,,X,X,There is no evidence of a capability to host security-specific technologies in a dedicated subnet.,"Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations. • Network security requirements for managed subnets are identified and documented.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • Network security requirements for managed subnets are identified and documented.","Cloud Security (CLD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to host security-specific technologies in a dedicated subnet.",,,,,,,,,,"IVS-06 IVS-08",CLS-09,,,,,,,,,,CLD.9.5.1,,,,,,,,,,,,,,,,,,SC-7(29),,,,,SC-7(29),,SC-7(29),SC-7(29),SC-7(29),,,,,,,,"3.13.2 NFO – PL-8",,,,,,,,,,,,,,,,,,,,H.1.1.3,,,,,,,,,,,SC.L2-3.13.2,SC.L2-3.13.2,AC.L1-b.1.iv,SC.L2-3.13.2,SC.L2-3.13.2,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,4.L.A,,,,,,6.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"COS-01 COS-02 COS-05",,,,9.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1385 1750",,,,,,,,,,,"12.4.5.P 13.1.4.P",,,22.1.24.C.02,,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 Lockton",,x,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-GV-2 R-GV-4 R-GV-5",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,,,,,,,,,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SC-7(29) Cloud Security,Application & Program Interface (API) Security ,CLD-04,Mechanisms exist to ensure support for secure interoperability between components with Application & Program Interfaces (APIs).,- Use only open and published APIs,,Does the organization ensure support for secure interoperability between components with Application & Program Interfaces (APIs)?,9,Protect,,X,X,There is no evidence of a capability to ensure support for secure interoperability between components with Application & Program Interfaces (APIs).,"SP-CMM1 is N/A, since a structured process is required to ensure support for secure interoperability between components with Application & Program Interfaces (APIs).","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations. Cloud requirements for interoperability between components (APIs) are identified and documented.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. Cloud requirements for interoperability between components (APIs) are identified and documented.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure support for secure interoperability between components with Application & Program Interfaces (APIs).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure support for secure interoperability between components with Application & Program Interfaces (APIs).",,,,,,,,,,"IPY-01 IPY-02 IPY-03","CLS-07 CLS-12 CLS-13",,,,,,,,,"5.23 8.26",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.1.4,,,,,,,,,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,4.L.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PI-01,,,,,,,,,,,,,,,,1-3-2-3,,,,,,,,,,,,,,,,,,,,,,,,"1817 1818",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Virtual Machine Images ,CLD-05,Mechanisms exist to ensure the integrity of virtual machine images at all times. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - File Integrity Monitoring (FIM) - Docker (https://www.docker.com/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization ensure the integrity of virtual machine images at all times? ,8,Protect,,,X,There is no evidence of a capability to ensure the integrity of virtual machine images at all times. ,"Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • Cloud requirements for interoperability implemented through standardized virtualization formats are identified and documented. • The IT Asset Management (ITAM) function uses technical mechanisms to ensure the integrity of virtual machine images throughout the asset lifecycle.","Cloud Security (CLD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure the integrity of virtual machine images at all times. ",,,,,,,,,,IVS-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,V.1.5,,,,,,,,,5.10.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.F,3.3.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-IR-1 R-IR-4",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Multi-Tenant Environments ,CLD-06,Mechanisms exist to ensure multi-tenant owned or managed assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users.,"- Security architecture review - Defined processes to segment at the network, application, databases layers",,Does the organization ensure multi-tenant owned or managed assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users?,9,Protect,,X,X,There is no evidence of a capability to ensure multi-tenant owned or managed assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users.,"Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations. • Cloud instances of virtual machines are treated no differently from on-premise VM assets, where no dedicated cloud governance process exists. • Cybersecurity and data privacy requirements for virtual machines are identified and documented. • IT personnel use an informal process to govern VM images. • Cybersecurity and data privacy requirements for multi-tenant CSP environments are identified and documented. • Contracts ensure multi-tenant CSPs: o Facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers. o Generate security event logs for its clients. o Facilitate prompt forensic investigations in the event of a suspected or confirmed security incident.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • Contracts ensure multi-tenant CSPs facilitate prompt forensic investigations in the event of a suspected or confirmed security incident. • Contracts ensure multi-tenant CSPs facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers. • Contracts ensure multi-tenant CSPs generate security event logs for its clients.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure multi-tenant owned or managed assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure multi-tenant owned or managed assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users.",,,,,,,,,,IVS-06,,,,,,,,,,5.23,CLD.9.5.1,,,,,,,"TS-1.9 TS-2.12",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A1.1 A1.1.1 A1.1.2 A1.1.3 A1.1.4",,,,,,,,"A1.1.1 A1.1.2 A1.1.3 A1.1.4",,N.1,,5.3.4,,,,,,,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,4.L.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,OPS-24,,,,"10.1 11.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1529,,,,,,,,,,,"9.5.P 9.5.1.P 9.5.2.P 9.5.2.1.PB 13.1.4.P",,,"23.1.55.C.01 23.1.55.C.02 23.1.55.C.03 23.2.20.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Customer Responsibility Matrix (CRM),CLD-06.1,"Mechanisms exist to formally document a Customer Responsibility Matrix (CRM), delineating assigned responsibilities for controls between the Cloud Service Provider (CSP) and its customers.","- Customer Responsibility Matrix (CRM) - Shared Responsibility Matrix (SRM) - Responsible, Accountable, Supporting, Consulted and Informed (RASCI) matrix",E-CPL-03,"Does the organization formally document a Customer Responsibility Matrix (CRM), delineating assigned responsibilities for controls between the Cloud Service Provider (CSP) and its customers?",8,Identify,X,X,X,"There is no evidence of a capability to formally document a Customer Responsibility Matrix (CRM), delineating assigned responsibilities for controls between the Cloud Service Provider (CSP) and its customers.","SP-CMM1 is N/A, since a structured process is required to formally document a Customer Responsibility Matrix (CRM), delineating assigned responsibilities for controls between the Cloud Service Provider (CSP) and its customers.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to formally document a Customer Responsibility Matrix (CRM), delineating assigned responsibilities for controls between the Cloud Service Provider (CSP) and its customers.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to formally document a Customer Responsibility Matrix (CRM), delineating assigned responsibilities for controls between the Cloud Service Provider (CSP) and its customers.",,,,,,,,,,,,,,,,,,4.3(c),,5.23,"6.1.1 CLD.6.3.1",,,,,,,TS-1.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PO.2 PO.2.1 PO.2.2 PO.2.3",,,,,12.4.1,,,,,,,,12.4.1,,G.1.3,,,,,,THIRD-PARTIES-1.A.MIL1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6.1.1.13.PB 6.1.3.13.PB 6.3.P 6.3.1.P 6.3.1.1.PB 6.3 6.3.1 6.3.1.1",,,"23.1.55.C.01 23.1.55.C.02 23.1.55.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Multi-Tenant Event Logging Capabilities,CLD-06.2,"Mechanisms exist to ensure Multi-Tenant Service Providers (MTSP) facilitate security event logging capabilities for its customers that are consistent with applicable statutory, regulatory and/or contractual obligations.",,,"Does the organization ensure Multi-Tenant Service Providers (MTSP) facilitate security event logging capabilities for its customers that are consistent with applicable statutory, regulatory and/or contractual obligations?",8,Identify,,,X,"There is no evidence of a capability to ensure Multi-Tenant Service Providers (MTSP) facilitate security event logging capabilities for its customers that are consistent with applicable statutory, regulatory and/ or contractual obligations.","SP-CMM1 is N/A, since a structured process is required to ensure Multi-Tenant Service Providers (MTSP) facilitate security event logging capabilities for its customers that are consistent with applicable statutory, regulatory and/ or contractual obligations.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Multi-Tenant Service Providers (MTSP) facilitate security event logging capabilities for its customers that are consistent with applicable statutory, regulatory and/ or contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Multi-Tenant Service Providers (MTSP) facilitate security event logging capabilities for its customers that are consistent with applicable statutory, regulatory and/ or contractual obligations.",,,,,,,,,,,,,,,,,,,,,CLD.12.4.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A1.2 A1.2.1",,,,,,,,A1.2.1,,N.1.24,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.4.5.P,,,"23.5.11.C.01 23.5.12.C.01 23.5.12.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Multi-Tenant Forensics Capabilities,CLD-06.3,Mechanisms exist to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt forensic investigations in the event of a suspected or confirmed security incident.,,,Does the organization ensure Multi-Tenant Service Providers (MTSP) facilitate prompt forensic investigations in the event of a suspected or confirmed security incident?,8,Identify,,,X,There is no evidence of a capability to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt forensic investigations in the event of a suspected or confirmed security incident.,"SP-CMM1 is N/A, since a structured process is required to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt forensic investigations in the event of a suspected or confirmed security incident.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt forensic investigations in the event of a suspected or confirmed security incident.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt forensic investigations in the event of a suspected or confirmed security incident.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A1.2 A1.2.2",,,,,,,,A1.2.2,,N.2.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Multi-Tenant Incident Response Capabilities,CLD-06.4,"Mechanisms exist to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers.",,,"Does the organization ensure Multi-Tenant Service Providers (MTSP) facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers?",8,Identify,,,X,"There is no evidence of a capability to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers.","SP-CMM1 is N/A, since a structured process is required to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Multi-Tenant Service Providers (MTSP) facilitate prompt response to suspected or confirmed security incidents and vulnerabilities, including timely notification to affected customers.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A1.2 A1.2.3",,,,,,,,A1.2.3,,N.1.23,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"23.5.12.C.01 23.5.12.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Data Handling & Portability,CLD-07,"Mechanisms exist to ensure cloud providers use secure protocols for the import, export and management of data in cloud-based services. ","- Data Protection Impact Assessment (DPIA) - Security architecture review - Encrypted data transfers (e.g. TLS or VPNs)",,"Does the organization ensure cloud providers use secure protocols for the import, export and management of data in cloud-based services? ",4,Protect,,X,,"There is no evidence of a capability to ensure cloud providers use secure protocols for the import, export and management of data in cloud-based services. ","Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cloud providers use secure protocols for the import, export and management of data in cloud-based services. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cloud providers use secure protocols for the import, export and management of data in cloud-based services. ",,,,,,,,,,"IPY-01 IPY-03 IVS-07",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,V.1.9,,,,,,,,,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,4.L.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PI-01 PI-02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AM-3 R-EX-5 R-GV-1 R-IR-3",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,R-GV-1,,,,,,,,,,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Standardized Virtualization Formats ,CLD-08,Mechanisms exist to ensure interoperability by requiring cloud providers to use industry-recognized formats and provide documentation of custom changes for review.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Data Protection Impact Assessment (DPIA) - Manual review process - Vendor risk assessments - Independent vendor compliance assessments ",,Does the organization ensure interoperability by requiring cloud providers to use industry-recognized formats and provide documentation of custom changes for review?,4,Protect,,X,X,There is no evidence of a capability to ensure interoperability by requiring cloud providers to use industry-recognized formats and provide documentation of custom changes for review.,"Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure interoperability by requiring cloud providers to use industry-recognized formats and provide documentation of custom changes for review.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure interoperability by requiring cloud providers to use industry-recognized formats and provide documentation of custom changes for review.",,,,,,,,,,"IPY-01 IPY-03 IVS-01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,V.4.4,,,,,,,,,5.10.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.F,3.3.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-BC-3 R-EX-1 R-EX-2 R-EX-5 R-GV-1 R-IR-1 R-IR-3 R-IR-4",,,,,,,R-AM-3,,,R-BC-3,,,R-EX-1,R-EX-2,,,R-EX-5,,,R-GV-1,,,,,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,"Geolocation Requirements for Processing, Storage and Service Locations",CLD-09,"Mechanisms exist to control the location of cloud processing/storage based on business requirements that includes statutory, regulatory and contractual obligations. ","- Data Protection Impact Assessment (DPIA) ","E-AST-06 E-AST-23","Does the organization control the location of cloud processing/storage based on business requirements that includes statutory, regulatory and contractual obligations? ",10,Protect,,X,X,"There is no evidence of a capability to control the location of cloud processing/storage based on business requirements that includes statutory, regulatory and contractual obligations. ","Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems.","Cloud Security (CLD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Cloud Security (CLD) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,"DSP-19 UEM-12 UEM-12",,,,,,,,,,5.23,6.1.3,,"7.5 7.5.1 7.5.2 8.5.1 8.5.2",,,,,,,,,,,,SA-9(5),,,,"SA-9(5) SA-9(8)",,,,,"SA-9(5) SA-9(8)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3.3,,,,,,,,,,,,,AC.L1-b.1.iv,,,SA-9(5),,,,52.204-21(b)(1)(iv),,,,SA-9(5),,SA-9(5),SA-9(5),,SA-9(5),,SA-9(5),SA-9(5),,,,,,,,,,4.L.A,"2.C.7 SA-9(5) SA-9(8)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-9(5),,,,,,"Art 6 Art 9",,,,,,,,,,,,,"PI-02 PSS-12",,,,,,,25(h),,,,,,,Article 15,,4-2-1-1,TPC-30,,"4-1-3-2 4-2-3-3",,,,,,,,,,,,,,,"Article 3 Article 44 Article 45(1) Article 45(2)(a) Article 45(2)(b) Article 45(2)(c) Article 46(1) Article 46(2)(a) Article 46(2)(b) Article 46(2)(c) Article 46(2)(d) Article 46(2)(e) Article 46(2)(f) Article 46(3)(a) Article 46(3)(b)",,,,,APP 8,"1572 1578",,,,,,"Article 38 Article 39 Article 40",,,,Article 24(1),,,,"22.1.22.C.01 22.1.22.C.02 22.1.22.C.03 22.1.22.C.04 22.1.22.C.05 22.1.22.C.06 23.4.11.C.01 23.4.11.C.02",,,,,,,,,"Art 12.1 Art 12.2",,,"Art 33 Art 34",,,,,,,,,Art 23,,,,x,FAR 52.204-21,,x,"R-AC-4 R-AM-1 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",,,,R-AC-4,R-AM-1,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Sensitive Data In Public Cloud Providers,CLD-10,Mechanisms exist to limit and manage the storage of sensitive/regulated data in public cloud providers. ,"- Data Protection Impact Assessment (DPIA) - Security and network architecture diagrams - Data Flow Diagram (DFD)",E-AST-08,Does the organization limit and manage the storage of sensitive/regulated data in public cloud providers? ,6,Protect,,X,,There is no evidence of a capability to limit and manage the storage of sensitive/regulated data in public cloud providers. ,"Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","Cloud Security (CLD) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cloud security management. o Use an informal process to govern cloud-specific cybersecurity & data privacy-specific tools. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT personnel have a documented architecture for cloud-based technologies to support cybersecurity and data protection requirements. • Cybersecurity and data privacy requirements are identified and documented for cloud-specific sensitive/regulated data processing, storing and/ or transmitting, including restrictions on data processing and storage locations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • IT infrastructure personnel and Data Protection Officers (DPOs) work with business stakeholders to identify business-critical systems and services, as well as associated sensitive/regulated data, including Personal Data (PD). • The DPO function oversees the storage, processing and transmission of PD in CSPs.","Cloud Security (CLD) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit and manage the storage of sensitive/regulated data in public cloud providers. ",,,,,,,,,,DSP-17,,,,,,,,,,,CLD.9.5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3.3,,,,,,,,,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,4.L.A,,,,,,,,,,,,,,,,,,,6-1-1308(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.1.5.P,,,"2.3.23.C.01 22.1.22.C.04 22.1.22.C.05",,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Cloud Access Point (CAP),CLD-11,Mechanisms exist to utilize Cloud Access Points (CAPs) to provide boundary protection and monitoring functions that both provide access to the cloud and protect the organization from the cloud.,"- Next Generation Firewall (NGF) - Web Application Firewall (WAF) - Network Routing / Switching - Intrusion Detection / Protection (IDS / IPS) - Data Loss Prevention (DLP) - Full Packet Capture",,Does the organization utilize Cloud Access Points (CAPs) to provide boundary protection and monitoring functions that both provide access to the cloud and protect the organization from the cloud?,7,Protect,,X,,There is no evidence of a capability to utilize Cloud Access Points (CAPs) to provide boundary protection and monitoring functions that both provide access to the cloud and protect the organization from the cloud.,"Cloud Security (CLD) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cloud-based technologies are governed no differently from on-premise network assets (e.g., cloud-based technology is viewed as an extension of the corporate network). • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies.","SP-CMM2 is N/A, since a well-defined process is required to prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. • IT architects, in conjunction with cybersecurity architects, use Cloud Access Points (CAPs) to provide boundary protection and monitoring functions that control access to the cloud and protect the organization as well.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize Cloud Access Points (CAPs) to provide boundary protection and monitoring functions that both provide access to the cloud and protect the organization from the cloud.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Cloud Access Points (CAPs) to provide boundary protection and monitoring functions that both provide access to the cloud and protect the organization from the cloud.",,CC6.1-POF5,,,,,,,,IVS-08,"CLS-12 CLS-14",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.L.A 6.L.A",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,COS-04,,,,"9.10 11.8 16.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"22.1.24.C.01 22.1.24.C.02 22.1.24.C.03 22.1.24.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-4 R-AM-3 R-SA-1",,,,R-AC-4,,,R-AM-3,,,,,,,,,,,,,,,,,,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,Side Channel Attack Prevention,CLD-12,"Mechanisms exist to prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.",,,"Does the organization prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network?",3,Protect,,,X,"There is no evidence of a capability to prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.","SP-CMM1 is N/A, since a structured process is required to prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.","SP-CMM2 is N/A, since a well-defined process is required to prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. IT infrastructure team assigns roles and responsibilities for governing Content Delivery Network (CDN) instances, including provisioning, maintaining and deprovisioning of instances.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent ""side channel attacks"" when using a Content Delivery Network (CDN) by restricting access to the origin server's IP address to the CDN and an authorized management network.",,,,,,,,,,,CLS-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.4.2,,,,,,,,12.4.2,,N.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1438 1439",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5",,,,R-AC-4,,,,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cloud Security,"Hosted Systems, Applications & Services",CLD-13,"Mechanisms exist to specify applicable cybersecurity & data protection controls that must be implemented on external systems, consistent with the contractual obligations established with the External Service Providers (ESP) owning, operating and/or maintaining external systems, applications and/or services.","- Customer Responsibility Matrix (CRM) - Shared Responsibility Matrix (SRM) - Responsible, Accountable, Supporting, Consulted and Informed (RASCI) matrix",,"Does the organization specify applicable cybersecurity & data protection controls that must be implemented on external systems, consistent with the contractual obligations established with the External Service Providers (ESP) owning, operating and/or maintaining external systems, applications and/or services?",9,Protect,X,X,,"There is no evidence of a capability to specify applicable cybersecurity & data protection controls that must be implemented on external systems, consistent with the contractual obligations established with the External Service Providers (ESP) owning, operating and/or maintaining external systems, applications and/or services.","SP-CMM1 is N/A, since a structured process is required to specify applicable cybersecurity & data protection controls that must be implemented on external systems, consistent with the contractual obligations established with the External Service Providers (ESP) owning, operating and/or maintaining external systems, applications and/or services.","SP-CMM2 is N/A, since a well-defined process is required to specify applicable cybersecurity & data protection controls that must be implemented on external systems, consistent with the contractual obligations established with the External Service Providers (ESP) owning, operating and/or maintaining external systems, applications and/or services.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. IT infrastructure team assigns roles and responsibilities for governing Content Delivery Network (CDN) instances, including provisioning, maintaining and deprovisioning of instances.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to specify applicable cybersecurity & data protection controls that must be implemented on external systems, consistent with the contractual obligations established with the External Service Providers (ESP) owning, operating and/or maintaining external systems, applications and/or services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to specify applicable cybersecurity & data protection controls that must be implemented on external systems, consistent with the contractual obligations established with the External Service Providers (ESP) owning, operating and/or maintaining external systems, applications and/or services.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- new control Cloud Security,"Authorized Individuals For Hosted Systems, Applications & Services",CLD-13.1,"Mechanisms exist to authorize specified individuals to access External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services.","- Responsible, Accountable, Supporting, Consulted and Informed (RASCI) matrix",,"Does the organization authorize specified individuals to access External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services?",9,Protect,X,X,,"There is no evidence of a capability to authorize specified individuals to access External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services.","SP-CMM1 is N/A, since a structured process is required to authorize specified individuals to access External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services.","SP-CMM2 is N/A, since a well-defined process is required to authorize specified individuals to access External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. IT infrastructure team assigns roles and responsibilities for governing Content Delivery Network (CDN) instances, including provisioning, maintaining and deprovisioning of instances.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to authorize specified individuals to access External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to authorize specified individuals to access External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- new control Cloud Security,"Sensitive/Regulated Data On Hosted Systems, Applications & Services",CLD-13.2,"Mechanisms exist to define formal processes to store, process and/or transmit sensitive/regulated data using External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services , in accordance with all applicable statutory, regulatory and/or contractual obligations.",,,"Does the organization define formal processes to store, process and/or transmit sensitive/regulated data using External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services , in accordance with all applicable statutory, regulatory and/or contractual obligations?",9,Protect,X,X,,"There is no evidence of a capability to define formal processes to store, process and/or transmit sensitive/regulated data using External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services , in accordance with all applicable statutory, regulatory and/or contractual obligations.","SP-CMM1 is N/A, since a structured process is required to define formal processes to store, process and/or transmit sensitive/regulated data using External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services , in accordance with all applicable statutory, regulatory and/or contractual obligations.","SP-CMM2 is N/A, since a well-defined process is required to define formal processes to store, process and/or transmit sensitive/regulated data using External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services , in accordance with all applicable statutory, regulatory and/or contractual obligations.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. IT infrastructure team assigns roles and responsibilities for governing Content Delivery Network (CDN) instances, including provisioning, maintaining and deprovisioning of instances.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define formal processes to store, process and/or transmit sensitive/regulated data using External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services , in accordance with all applicable statutory, regulatory and/or contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define formal processes to store, process and/or transmit sensitive/regulated data using External Service Providers (ESP) owned, operated and/or maintained external systems, applications and/or services , in accordance with all applicable statutory, regulatory and/or contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- new control Cloud Security,"Prohibition On Unverified Hosted Systems, Applications & Services",CLD-14,"Mechanisms exist to prohibit access to, or usage of, hosted systems, applications and/or services until applicable cybersecurity & data protection control implementation is verified.",,,"Does the organization prohibit access to, or usage of, hosted systems, applications and/or services until applicable cybersecurity & data protection control implementation is verified?",8,Protect,X,X,,"There is no evidence of a capability to prohibit access to, or usage of, hosted systems, applications and/or services until applicable cybersecurity & data protection control implementation is verified.","SP-CMM1 is N/A, since a structured process is required to prohibit access to, or usage of, hosted systems, applications and/or services until applicable cybersecurity & data protection control implementation is verified.","SP-CMM2 is N/A, since a well-defined process is required to prohibit access to, or usage of, hosted systems, applications and/or services until applicable cybersecurity & data protection control implementation is verified.","Cloud Security (CLD) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Roles and associated responsibilities for governing cloud instances, including provisioning, maintaining and deprovisioning, are formally assigned. • A Shared Responsibility Matrix (SRM), or similar Customer Responsibility Matrix (CRM), is documented for each Cloud Service Providers (CSPs) instance that takes into account differences between Software as a Service (SaaS), Platform as a Service (PaaS) and Infrastructure as a Service (IaaS) methodologies. • IT architects, in conjunction with cybersecurity architects: o Ensure the cloud security architecture supports the organization's technology strategy to securely design, configure and maintain cloud employments. o Ensure multi-tenant CSP assets (physical and virtual) are designed and governed such that provider and customer (tenant) user access is appropriately segmented from other tenant users. o Ensure CSPs use secure protocols for the import, export and management of data in cloud-based services. o Implement a dedicated subnet to host security-specific technologies on all cloud instances, where technically feasible. • A Change Advisory Board (CAB), or similar function: o Governs changes to cloud-based systems, applications and services to ensure their stability, reliability and predictability. o Reviews processes to identify and prevent use of unapproved CSPs. • A dedicated IT infrastructure team, or similar function, enables the implementation of cloud management controls to ensure cloud instances are both secure and compliant, leveraging industry-recognized secure practices that are CSP-specific. • Cybersecurity and data privacy requirements are identified and documented for each CSP instance to address sensitive/regulated data processing, storing and/ or transmitting and provide restrictions on data processing and storage locations. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on external systems. IT infrastructure team assigns roles and responsibilities for governing Content Delivery Network (CDN) instances, including provisioning, maintaining and deprovisioning of instances.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit access to, or usage of, hosted systems, applications and/or services until applicable cybersecurity & data protection control implementation is verified.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit access to, or usage of, hosted systems, applications and/or services until applicable cybersecurity & data protection control implementation is verified.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- new control Compliance,"Statutory, Regulatory & Contractual Compliance ",CPL-01,"Mechanisms exist to facilitate the identification and implementation of relevant statutory, regulatory and contractual controls.","- Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud,Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.) - Steering committee","E-CPL-01 E-GOV-10","Does the organization facilitate the identification and implementation of relevant statutory, regulatory and contractual controls?",10,Identify,X,X,,"There is no evidence of a capability to facilitate the identification and implementation of relevant statutory, regulatory and contractual controls.","Compliance (CPL) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern statutory, regulatory and contractual compliance obligations. • IT personnel self-identify a set of controls that are used to conduct cybersecurity & data privacy control assessments. • IT personnel perform internal assessments of cybersecurity & data privacy controls to determine compliance status.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Legal representation is consulted on an as-needed basis. • Cybersecurity personnel perform an informal annual review of existing compliance requirements and researches evolving or new requirements.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for statutory, regulatory and contractual obligations. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization to manage compliance efforts. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program with regards to GRC operations. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • Legal representation is consulted on an as-needed basis.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the identification and implementation of relevant statutory, regulatory and contractual controls.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the identification and implementation of relevant statutory, regulatory and contractual controls.","CC2.2 CC2.3",CC3.1-POF14,"7.1 9",,,,,"MEA02.01 MEA02.02 MEA03.01 MEA03.02 MEA03.03 MEA03.04","Principle 14 Principle 15","A&A-01 A&A-04 GRC-07 STA-06 STA-09 UEM-14","CLS-04 GVN-02 LGL-03 LGL-04 LGL-05 LGL-06 LGL-07 LGL-08 OPA-05",SO25,,,,4.2.2,,"4.1 9.1 9.2 9.2.1 9.2.2",18.1.1 ,"5.31 8.34",18.1.1 ,,"6.15 6.15.1 6.15.1.1",5.1,,,,,Sec 4(I),GOVERN 1.1,"GV.PO-P5 GV.MT-P3",,,,"PL-1 PM-8",PL-1,PL-1,PL-1,"PL-1 PM-8",PL-1,PL-1,PL-1,PL-1,PM-8,,PL-1,PL-1,PL-1,"3.3 3.3.3 3.3.4 3.4 3.4.1 3.4.2 3.4.3","PL-1 PM-8",PL-1,,PM-8,PL-1,,NFO - PL-1,,,,,,"ID.GV-3 PR.IP-5 DE.DP-2","GV.OC-03 GV.SC-03 GV.SC-09",,12.1,"A3.1 A3.1.1",,,,,,,,,,L.1,,"1.5 1.5.1 7.1.1",,7.1.1,7.1.1,"PROGRAM-1.G.MIL2 PROGRAM-2.I.MIL3","COMP:SG4.SP1 EF:SG3.SP3 EF:SG4.SP1 RRD:SG1.SP1",,"4.1.1 4.2.1 4.2.2 4.3",,,,,,,"PL-1 PM-8",6502,"252.204-7008(b) 252.204-7008(c)(1) 252.204-7008(c)(1)(i) 252.204-7008(c)(1)(i)(A) 252.204-7008(c)(1)(i)(B) 252.204-7008(c)(1)(ii) 252.204-7012(b)(1)(i) 252.204-7012(b)(1)(ii) 252.204-7012(b)(2)(i) 252.204-7012(b)(2)(ii)(A) 252.204-7012(b)(2)(ii)(B) 252.204-7012(b)(2)(ii)(C) 252.204-7012(b)(2)(ii)(D) 252.204-7012(b)(3) 252.204-7012(k) 252.204-7012(l) 252.204-7019(b) 252.204-7019(c)(1) 252.204-7019(c)(2) 252.204-7020(c) 252.204-7021(b) 252.204-7021(c)(1) 252.204-7021(c)(2)",,"52.204-21(b)(2) 52.204-21(c)",,,"§ 11.10 § 11.10(a) § 11.10(b) § 11.10(c) § 11.10(d) § 11.10(e) § 11.10(f) § 11.10(g) § 11.10(h) § 11.10(i) § 11.10(j) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2) § 11.100 § 11.100(c) § 11.100(c)(1) § 11.100(c)(2)",PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,,"D1.G.Ov.E.2 D3.PC.Am.B.11",,,314.4(c),"164.302 164.318 164.318(a) 164.318(a)(1) 164.318(a)(2) 164.318(b) 164.318(c) 164.534 164.534(a) 164.534(b) 164.534(c)",,,,"1.1 1.6 1.7.1 1.7.1.1 1.7.1.2 1.7.2 1.10.1 1.10.2 1.10.3 2.A.1 2.C.9 2.E.1 2.E.2 2.E.4 2.E.4.1 2.E.4.2 2.E.4.3 2.E.4.4 2.E.5.1 2.E.5.2 2.E.6 2.E.6.3 2.F.2 2.F.4 PL-1",,,8-104,,,,,,5.11,PL-1,PL-1,PL-1,"IV.A IV.B IV.B.1 IV.B.2 IV.C.1 IV.C.2 IV.C.2.a IV.C.2.b IV.C.2.c IV.C.2.d IV.C.2.e IV.C.2.e.i IV.C.2.e.ii IV.C.2.e.iii IV.C.2.e.iv IV.C.2.f",,"1798.91.06(a) 1798.91.06(b) 1798.91.06(c) 1798.91.06(d) 1798.91.06(e) 1798.91.06(f) 1798.91.06(g) 1798.91.06(h) 1798.91.06(i)",7010(a),,"6-1-1305(1) 6-1-1305(6) 6-1-1307(2) 6-1-1307(3) 6-1-1308(6)",,,"Sec 45(a) Sec 45(b) Sec 45(c) Sec 45(d) Sec 50",,,500.19,"Sec 4(2)(a) Sec 4(2)(b)(i) Sec 4(2)(b)(ii) Sec 4(2)(b)(ii)(A) Sec 4(2)(b)(ii)(A)(1) Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(A)(4) Sec 4(2)(b)(ii)(A)(5) Sec 4(2)(b)(ii)(A)(6) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(B)(3) Sec 4(2)(b)(ii)(B)(4) Sec 4(2)(b)(ii)(C)(1) Sec 4(2)(b)(ii)(C)(2) Sec 4(2)(b)(ii)(C)(3) Sec 4(2)(b)(ii)(C)(4) Sec 4(2)(c)",,38-99-20(I),,,PL-1,PL-1,PL-1,Sec 11.175(c),"59.1-576.A 59.1-576.B 59.1-576.C.1 59.1-576.C.2 59.1-576.C.3 59.1-576.C.4 59.1-576.C.5 59.1-576.C.6 59.1-576.C.7 59.1-576.C.8 59.1-576.C.9 59.1-576.C.10 59.1-576.C.11 59.1-576.C.12 59.1-576.C.13 59.1-576.C.14 59.1-576.D 59.1-581.E 59.1-582.A.1 59.1-582.A.2 59.1-582.A.3 59.1-582.A.4 59.1-582.A.5 59.1-582.A.6 59.1-582.A.7 59.1-582.A.8 59.1-582.A.9 59.1-582.B.1 59.1-582.B.2 59.1-582.B.3 59.1-582.B.4 59.1-582.C 59.1-582.D 59.1-582.E 59.1-582.F 59.1-582.G 59.1-582.H",,"3.1(1) 3.8(92) 3.8(93) 3.8(94) 3.8(95) 3.8(96) 3.8(97) 3.8(98)","Art 4.1 Art 4.2 Art 4.3 Art 5.4","Art 2 Art 3 Art 15","Art 1.2 Art 2.1 Art 2.2 Art 3.1 Art 3.2 Art 3.3 Art 6.1 Art 17.3 Art 20.3 Art 23.1 Art 23.2 Art 24.1 Art 24.2 Art 24.3 Art 25.1 Art 25.2 Art 25.3 Art 27.1 Art 27.2 Art 27.3 Art 27.4 Art 27.5 Art 32.1 Art 32.2 Art 32.3 Art 32.4 Art 40.1 Art 40.2 Art 42.2 Art 43 Art 50",Article 21.1,"Art 3 Art 29","Principle 3.5.a Principle 3.5.b Principle 3.5.b.i Principle 3.5.b.ii Principle 3.5.b.iii Principle 3.6.a Principle 3.6.b Principle 3.6.b.i Principle 3.6.b.ii Principle 3.6.b.iii Principle 3.6.b.iii.1 Principle 3.6.b.iii.2 Principle 3.6.b.iv Principle 3.6.b.iv.1 Principle 3.6.b.iv.2 Principle 3.6.b.v Principle 3.6.b.vi Principle 3.6.b.vii Principle 3.6.b.viii Principle 3.6.c Principle 3.6.d Principle 3.6.e Principle 3.6.f Principle 3.6.g Principle 3.6.h Principle 3.7.a Principle 3.7.b Principle 3.7.c Principle 3.7.d Principle 3.7.e","Sec 14 Sec 15",Art 16,Art 13,"Art 5 Art 41 ","Sec 5 Sec 32 Sec 33 Sec 34 Sec 35",Art 34,"Sec 9 Sec 9a Annex",12.5,"SP-01 PI-02 COM-01",Art 10,Sec 7,Sec 2,1.3,"Sec 16 Sec 17","Sec 26 Sec 31 Sec 33 Sec 34 Sec 35","4(a) 4(b)(i) 4(b)(ii) 51(1) 51(2)(a) 51(2)(b) 51(2)(c) 52(1)(a) 52(1)(b) 52(1)(c) 52(2) 52(3) 54 55(1)(a) 55(1)(b) 55(2)","Art 3 Art 4","Sec 12 Sec 13 Sec 14","2.1(2) 2.1(3) 3.1(16) 4.1(1) 4.1(6) 4.1(7)","Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15 Art 16 Art 17",Article 2,"Art 7 Art 19",1-4,"TPC-20 TPC-21 TPC-43","3.2.2 3.2.3 3.3.13","1-7-1 1-7-2",,"Article 5.1 Article 13 Article 49 Article 59",,"Sec 2 Sec 3 Sec 9 Sec 19 Sec 21",,7.1.5 [OP.PL.5],Sec 31,Art 7,Art 12,"Sec 15 Sec 16",B3.a,,,,"Article 3 Article 25(1) Article 25(2) Article 25(3) Article 27(1) Article 27(2)(a) Article 27(2)(b) Article 27(3)Article 27(4) Article 27(5)",,,,APP Part 11,,"0078 0854",,28,"31 35 35(a) 35(b) 36",Article 46,Sec 4,"Article 32 Article 37 Article 38(4) Article 42",Principle 4,Sec 8,,"Article 20 Article 21 Article 22 Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 26(2) Article 26(3) Article 26(4) Article 26-2(1) Article 26-2(1)(i) Article 26-2(1)(ii) Article 26-2(2) Article 26-2(3) Article 36 Article 37 Article 38 Article 39 Article 51(1) Article 51(2) Article 52(1) Article 53(2) Article 53(3) Article 53(1) Article 53(2) Article 53(3) Article 53(4) Article 54 Article 55",18.1.1,Sec 9,14.1,"1.1.64.C.01 1.1.65.C.01 1.1.66.C.01 1.1.66.C.02 1.1.67.C.01",,Sec 25,Sec 24,"3.1(a) 3.1(b) 3.1(c)",3.2.3,"Art 3 Art 29",Art 27,Art 9,"Art 10.1 Art 10.2",Sec 6,,"Art 7.1 Art 7.2 Art 7.3 Art 7.4 Art 7.5 Art 7.6 Art 7.7 Art 7.8 Art 7.9 Art 7.10",,,Principle 7,Art 7,Art 4,Art 10,Art 19,"Art 9 Art 16 Art 17",Art 23,,,,x,"FAR 52.204-21 NAIC",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16,- updated DFARS mapping Compliance,Non-Compliance Oversight,CPL-01.1,"Mechanisms exist to document and review instances of non-compliance with statutory, regulatory and/or contractual obligations to develop appropriate risk mitigation actions.",,E-CPL-05,"Does the organization document and review instances of non-compliance with statutory, regulatory and/or contractual obligations to develop appropriate risk mitigation actions?",9,Respond,,X,,"There is no evidence of a capability to document and review instances of non-compliance with statutory, regulatory and/ or contractual obligations to develop appropriate risk mitigation actions.","SP-CMM1 is N/A, since a structured process is required to document and review instances of non-compliance with statutory, regulatory and/ or contractual obligations to develop appropriate risk mitigation actions.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Legal representation is consulted on an as-needed basis.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • Legal representation is consulted on an as-needed basis.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document and review instances of non-compliance with statutory, regulatory and/ or contractual obligations to develop appropriate risk mitigation actions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document and review instances of non-compliance with statutory, regulatory and/ or contractual obligations to develop appropriate risk mitigation actions.",,"CC1.1-POF4 CC4.2-POF1 CC4.2-POF2 CC4.2-POF3",,,,,,,,"A&A-05 A&A-06 GRC-04",GVN-04,,,,,,10.1,"9.1 9.1(a) 9.1(b) 9.1(c) 9.1(d) 9.1(e) 9.1(f) 10.2 10.2(a) 10.2(a)(1) 10.2(a)(2) 10.2(b) 10.2(b)(1) 10.2(b)(2) 10.2(b)(3) 10.2(c) 10.2(d) 10.2(e) 10.2(f) 10.2(g)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.OC-03,,,12.4.2,,,,,,,,12.4.2,,P.10.6,,1.5.1,,,,"ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-5.F.MIL3 ACCESS-4.F.MIL3 SITUATION-4.F.MIL3 RESPONSE-5.F.MIL3 THIRD-PARTIES-3.F.MIL3 WORKFORCE-4.F.MIL3 ARCHITECTURE-5.F.MIL3 PROGRAM-3.F.MIL3",,,,,,,,,,,,252.204-7019(b),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 21.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-6 1-6-1",,,,,,,,,,,,,,,,,,,,,,"30 31","29 35 35(a) 35(b) 36",,,Article 54,,,,"Article 40(1) Article 40(2) Article 40(3)","4.7.1 4.7.1.1 4.7.1.2 4.7.1.3 4.7.1.4 4.7.1.5 4.7.1.6 4.7.1.7",,,"1.1.68.C.01 1.1.69.C.01 1.1.69.C.02",,,,,"3.2.3 4.5.2 4.5.3",,,,,,5.7,,"6.10 6.14",,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Compliance,Compliance Scope,CPL-01.2,"Mechanisms exist to document and validate the scope of cybersecurity & data privacy controls that are determined to meet statutory, regulatory and/or contractual compliance obligations.",,"E-AST-02 E-CPL-02 E-GOV-10","Does the organization document and validate the scope of cybersecurity & data privacy controls that are determined to meet statutory, regulatory and/or contractual compliance obligations?",10,Identify,X,X,X,"There is no evidence of a capability to document and validate the scope of cybersecurity & data privacy controls that are determined to meet statutory, regulatory and/ or contractual compliance obligations.","SP-CMM1 is N/A, since a structured process is required to document and validate the scope of cybersecurity & data privacy controls that are determined to meet statutory, regulatory and/ or contractual compliance obligations.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Data process owners and asset custodians are responsible for performing compliance scoping of control applicability for statutory, regulatory and/ or contractual compliance obligations.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • GRC personnel assist data process owners and asset custodians with performing compliance scoping of control applicability for statutory, regulatory and/ or contractual compliance obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document and validate the scope of cybersecurity & data privacy controls that are determined to meet statutory, regulatory and/ or contractual compliance obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document and validate the scope of cybersecurity & data privacy controls that are determined to meet statutory, regulatory and/ or contractual compliance obligations.",,"CC2.2-POF9 CC5.2-POF2",7.1,,,,,,,,,,,,,,,"4.3 4.3(a) 4.3(b) 4.3(c)",,,,,,,,,,,,"GOVERN 1.1 GOVERN 1.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.OC-03,,,"12.5 12.5.1 12.5.2 A3.2 A3.2.1 A3.2.3",,,,,,,"12.5.1 12.5.2","12.5.1 12.5.2",,L.6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B3.a,,,,,,,,,,,,,,,,,,,,,"4.4.4 4.4.4.1 4.6.2.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AM-3 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Compliance,Cybersecurity & Data Protection Controls Oversight ,CPL-02,Mechanisms exist to provide a cybersecurity & data protection controls oversight function that reports to the organization's executive leadership.,"- Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud,Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.) - Steering committee - Formalized SDLC program - Formalized DevOps program - Information Assurance Program (IAP) - Security Test & Evaluation (STE)","E-CPL-07 E-CPL-09 E-GOV-04 E-GOV-05 E-GOV-06 E-GOV-13 E-RSK-03",Does the organization provide a cybersecurity & data protection controls oversight function that reports to the organization's executive leadership?,10,Detect,X,X,X,There is no evidence of a capability to provide a cybersecurity & data privacy controls oversight function that reports to the organization's executive leadership.,"Compliance (CPL) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern statutory, regulatory and contractual compliance obligations. • IT personnel self-identify a set of controls that are used to conduct cybersecurity & data privacy control assessments. • IT personnel perform internal assessments of cybersecurity & data privacy controls to determine compliance status.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity personnel generate a formal report for each security assessment to document the assessment of cybersecurity & data privacy controls. • Compliance reporting is performed, as required.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • An Audit Committee, or similar function: o Reviews the findings from security assessments and oversees long-term remediation efforts, when applicable. o Provides senior leaders with insights into the appropriateness of the organization's technology and information governance processes through recurring audits on pertinent cybersecurity & data privacy-related topics. o Governs changes to compliance operations to ensure its stability, reliability and ongoing improvement. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide a cybersecurity & data privacy controls oversight function that reports to the organization's executive leadership.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide a cybersecurity & data privacy controls oversight function that reports to the organization's executive leadership.","CC1.1 CC2.2 CC2.3","CC1.1-POF3 CC4.2-POF1 CC4.2-POF2 CC4.2-POF3",9,,,,,"MEA02.01 MEA02.02 MEA04.01 MEA04.02 MEA04.03 MEA04.04 MEA04.05 MEA04.06 MEA04.07 MEA04.08 MEA04.09","Principle 1 Principle 14 Principle 15 Principle 19 Principle 20","A&A-02 A&A-05 CEK-09 LOG-10 STA-11","CCM-07 GVN-04 LGL-03 SAP-10",SO25,8.2.7,,RQ-05-17,"9.3 9.3.1 9.3.2 9.3.3 9.3.3.1 9.3.3.2","9.1 9.3 10.2","8.1 10.1","12.7.1 18.2.2 18.2.3 ","5.31 5.36 6.8 8.8 8.34","12.7.1 18.2.2 18.2.3 ",,,"5.10 5.11 5.12",,,"T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1008, T1021.002, T1021.005, T1029, T1030, T1036, T1036.003, T1036.005, T1036.007, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1041, T1046, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1053.006, T1055.009, T1056.002, T1059, T1059.005, T1059.007, T1068, T1070, T1070.001, T1070.002, T1070.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1078, T1078.001, T1078.003, T1078.004, T1080, T1090, T1090.001, T1090.002, T1090.003, T1095, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1132, T1132.001, T1132.002, T1176, T1185, T1187, T1189, T1190, T1195, T1195.001, T1195.002, T1197, T1201, T1203, T1204, T1204.001, T1204.002, T1204.003, T1205, T1205.001, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.002, T1218.010, T1218.011, T1218.012, T1219, T1221, T1222, T1222.001, T1222.002, T1489, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1528, T1530, T1537, T1539, T1542.004, T1542.005, T1543, T1543.002, T1546.003, T1546.004, T1546.013, T1547.003, T1547.011, T1547.013, T1548, T1548.003, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.005, T1553.003, T1555, T1555.001, T1555.002, T1556, T1556.001, T1557, T1557.001, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1563.001, T1564.004, T1565, T1565.001, T1565.003, T1566, T1566.001, T1566.002, T1566.003, T1567, T1568, T1568.002, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.004, T1574.007, T1574.008, T1574.009, T1598, T1598.001, T1598.002, T1598.003, T1599, T1599.001, T1602, T1602.001, T1602.002",,"Sec 4(C)(4) Sec 4(C)(4)(a) Sec 4(C)(4)(b) Sec 4(C)(4)(c) Sec 4(E)(2)(a) Sec 4(E)(2)(b) Sec 4(E)(3)",GOVERN 1.5,"GV.MT-P4 PR.PO-P5",,S-5,,"CA-7 CA-7(1) PM-14",CA-7,"CA-7 CA-7(1)","CA-7 CA-7(1)","CA-7 CA-7(1) PM-14",CA-7,CA-7,"CA-7 CA-7(1)","CA-7 CA-7(1)",PM-14,,CA-7,"CA-7 CA-7(1)","CA-7 CA-7(1)",3.3.8,PM-14,,,PM-14,PM-14,,"3.12.1 3.12.3","3.12.1 3.12.3","3.12.1[a] 3.12.1[b] 3.12.3",,,PO.2.3,"DE.DP-5 PR.IP-5 PR.IP-7","GV.OC-03 ID.IM-01",,"12.11 12.11.1","10.7 10.7.1 10.7.2 10.7.3",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,P.2.2,,"1.5.1 5.2.5 9.3",,,,"ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-5.F.MIL3 ACCESS-4.F.MIL3 SITUATION-4.F.MIL3 RESPONSE-5.F.MIL3 THIRD-PARTIES-3.F.MIL3 WORKFORCE-4.F.MIL3 ARCHITECTURE-5.F.MIL3 PROGRAM-3.F.MIL3","COMP:SG4.SP1 CTRL:SG3.SP1 GG2.GP9 GG2.GP10 MON:SG1.SP1 MON:SG1.SP3 OPD:SG1.SP1 OTA:SG4.SP1 RISK:SG6.SP2",,,,"CA.L2-3.12.1 CA.L2-3.12.3","CA.L2-3.12.1 CA.L2-3.12.3",,"CA.L2-3.12.1 CA.L2-3.12.3","CA.L2-3.12.1 CA.L2-3.12.3","CA-7 CA-7(1) PM-14",,,,,,,"§ 11.10 § 11.10(a) § 11.10(b) § 11.10(c) § 11.10(d) § 11.10(e) § 11.10(f) § 11.10(g) § 11.10(h) § 11.10(i) § 11.10(j) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)","CA-7 CA-7(1) ",CA-7,"CA-7 CA-7(1) ","CA-7 CA-7(1) ",CA-7,"CA-7 CA-7(1)",CA-7,"CA-7 CA-7(1)","CA-7 CA-7(1)",CA-7,,"D5.IR.Pl.Int.3 D1.RM.RMP.E.2 D1.G.Ov.A.2",,,314.4(d)(1),164.308(a)(8),,,,"1.6 CA-7 CA-7(1) PM-14",,,"8-202 8-302 8-610 8-614",,,,,,"5.7 5.11",CA-7,"CA-7 CA-7(1) ","CA-7 CA-7(1) ",,45.48.520,,,,,,,,,,,Sec 4(2)(b)(ii)(B)(4),622(2)(B)(iii),"38-99-20(C)(4) 38-99-20(C)(4)(a) 38-99-20(C)(4)(b) 38-99-20(C)(4)(c) 38-99-20(E)(2)(a) 38-99-20(E)(2)(b) 38-99-20(E)(3)",,"Sec 10 Sec 11","CA-7 PM-14",CA-7,"CA-7 CA-7(1)",,,"§ 2447(b)(2)(C) § 2447(b)(8) § 2447(b)(8)(A)","3.4.6(41) 3.4.6(42) 3.4.6(43) 3.4.6(43)(a) 3.4.6(43)(b) 3.4.6(44) 3.4.6(45) 3.4.6(46) 3.4.6(47) 3.4.6(48)",,,Art 5.2,,Art 3,Principle 3.4.b,,,Art 13,Art 41 ,"Sec 5 Sec 32 Sec 33 Sec 34 Sec 35",Art 34,"Sec 9 Sec 9a Annex",5.6,SP-03,Art 10,Sec 7,Sec 2,"1.3 3.1","Sec 16 Sec 17","Sec 31 Sec 33 Sec 34 Sec 35",,"Art 3 Art 4","Sec 12 Sec 13 Sec 14","4.1(5)(a) 4.1(5)(b) 4.1(5)(c) 4.1(5)(d) 4.1(5)(e) 4.1(5)(f) 4.1(5)(g) 4.1(5)(h) 4.1(5)(i) 4.1(5)(j) 4.1(6) 4.1(7)","Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15 Art 16 Art 17",,"Art 7 Art 19",1-4,,3.2.4,1-3-2,"1-6 1-6-1",,,"Sec 8 Sec 19 Sec 21",,9,Sec 31,Art 7,Art 12,"Sec 15 Sec 16",B3.a,,,,,,,,APP Part 11,,,,"29 30 58(b) 58(c)","27 27(a) 27(b) 27(c) 27(d) 27(e) 29",,Sec 4,Article 54,Principle 4,Sec 8,,Article 21,"4.6 4.6.1 4.6.2 4.6.2.2 4.6.2.6 4.6.3 4.6.3.1 4.6.3.2 4.6.2.3 4.6.2.4 12.7.1 18.2.2 18.2.3",Sec 9,,"6.1.7.C.01 23.2.18.C.01",,"Sec 25 Sec 29",Sec 24,,3.2.3,,Art 27,Art 9,,,5.7,,6.10,,Principle 7,Art 7,,,,,,,,,x,"NAIC OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- renamed control - wordsmithed control" Compliance,Internal Audit Function,CPL-02.1,Mechanisms exist to implement an internal audit function that is capable of providing senior organization management with insights into the appropriateness of the organization's technology and information governance processes.,,"E-CPL-04 E-CPL-07",Does the organization implement an internal audit function that is capable of providing senior organization management with insights into the appropriateness of the organization's technology and information governance processes?,5,Detect,,X,,There is no evidence of a capability to implement an internal audit function that is capable of providing senior organization management with insights into the appropriateness of the organization's technology and information governance processes.,"SP-CMM1 is N/A, since a structured process is required to implement an internal audit function that is capable of providing senior organization management with insights into the appropriateness of the organization's technology and information governance processes.","SP-CMM2 is N/A, since a well-defined process is required to implement an internal audit function that is capable of providing senior organization management with insights into the appropriateness of the organization's technology and information governance processes.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • An assessor from within a GRC function, or similar function, is selected or a third-party assessor is contracted to perform an independent assessment of cybersecurity & data privacy controls.","Compliance (CPL) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement an internal audit function that is capable of providing senior organization management with insights into the appropriateness of the organization's technology and information governance processes.",,"CC4.1-POF1 CC4.1-POF2 CC4.1-POF3 CC4.1-POF4 CC4.1-POF5 CC4.1-POF6 CC4.1-POF7 CC4.1-POF8",,,,,,"APO02.04 MEA02.01 MEA02.02 MEA02.03 MEA02.04 MEA04.01 MEA04.02 MEA04.03 MEA04.04 MEA04.05 MEA04.06 MEA04.07 MEA04.08 MEA04.09","Principle 19 Principle 20","A&A-02 A&A-03 A&A-05 CEK-09 LOG-10",GVN-04,,,,RQ-05-17,"9.2 9.2.1 9.2.2",9.1,"9.2 9.2.1 9.2.1(a)(1) 9.2.1(a)(2) 9.2.1(b) 9.2.2 9.2.2(a) 9.2.2(b) 9.2.2(c)",12.7.1 ,"5.35 8.34",12.7.1 ,,,,,,,,"Sec 4(E)(2)(a) Sec 4(E)(2)(b)",,,,,,,,,,,,,,,,,,,,,,,,,,,3.12.1,3.12.1,,,,,,"ID.IM-02 ID.IM-03",,,,,,,,,,,,,L.8,,1.5.1,,,,,,,5.11,,CA.L2-3.12.1,,,CA.L2-3.12.1,CA.L2-3.12.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"38-99-20(E)(2)(a) 38-99-20(E)(2)(b)",,,,,,,,"§ 2447(b)(2)(C) § 2447(b)(8) § 2447(b)(8)(A)","3.3.1(11) 3.3.6(25)",,,,,,"Principle 3.4.a Principle 3.4.b",,,,,,,,,,,,,,,,,,,,,,,,,"1-4-2 2-13-4",,3.2.5,"1-8-1 1-8-3",,,,,,,,,,,,,,,,,,,,,,,"46 60","31 32 33 34 34(a) 34(b)",,,Article 54,,,,,"4.6.2 4.6.2.2 4.6.2.3 12.7.1",,,,,,,,"15.1.1 15.1.2 15.1.3 15.1.4",,,,,,"5.4 5.6",,"6.17 6.18 6.19 6.20",,,,,,,,,,,,,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Compliance,Cybersecurity & Data Protection Assessments ,CPL-03,"Mechanisms exist to ensure managers regularly review the processes and documented procedures within their area of responsibility to adhere to appropriate cybersecurity & data protection policies, standards and other applicable requirements.","- Information Assurance Program (IAP) - Security Test & Evaluation (STE) - Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud,Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.)","E-CPL-05 E-CPL-07","Does the organization ensure managers regularly review the processes and documented procedures within their area of responsibility to adhere to appropriate cybersecurity & data protection policies, standards and other applicable requirements?",10,Detect,,X,X,"There is no evidence of a capability to ensure managers regularly review the processes and documented procedures within their area of responsibility to adhere to appropriate cybersecurity & data protection policies, standards and other applicable requirements.","Compliance (CPL) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern statutory, regulatory and contractual compliance obligations. • IT personnel self-identify a set of controls that are used to conduct cybersecurity & data privacy control assessments. • IT personnel perform internal assessments of cybersecurity & data privacy controls to determine compliance status.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity personnel either use an impartial member of its team or a third-party assessor to perform an independent assessment of cybersecurity & data privacy controls.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • Cybersecurity personnel either use an impartial member of its team or a third-party assessor to perform an independent assessment of cybersecurity & data privacy controls.","Compliance (CPL) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure managers regularly review the processes and documented procedures within their area of responsibility to adhere to appropriate cybersecurity & data protection policies, standards and other applicable requirements.",CC4.1,CC1.1-POF3,9,,,,,"MEA02.01 MEA02.02 MEA02.03 MEA02.04",Principle 16,"A&A-02 A&A-05 CEK-09 LOG-10 STA-11","GVN-04 SAP-10",,10.2.4,,RQ-05-17,,9.2,"8.1 9.1 9.1(a) 9.1(b) 9.1(c) 9.1(d) 9.1(e) 9.1(f)",18.2.2 ,"5.35 5.36 8.34",18.2.2 ,,6.15.2.2,5.12,,,"T1190, T1195, T1195.001, T1195.002, T1210",,"Sec 4(C)(4) Sec 4(E)(2)(a) Sec 4(E)(2)(b)",GOVERN 1.5,ID.DE-P5,,"A-3 A-4",,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,,,CA-2,CA-2,CA-2,3.4.9,CA-2,CA-2,,,CA-2,CA-2,3.12.1,3.12.1,,A.03.12.01,,,,"ID.IM-02 ID.IM-03",,,"10.7 10.7.1 10.7.2 10.7.3 11.1 12.4.2",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3 12.4.2",,C.1.9,,"1.5.1 1.5.2 9.3",,,,"ASSET-5.E.MIL3 ASSET-5.F.MIL3 THREAT-3.F.MIL3 RISK-5.F.MIL3 ACCESS-4.F.MIL3 SITUATION-4.F.MIL3 RESPONSE-5.F.MIL3 THIRD-PARTIES-3.F.MIL3 WORKFORCE-4.F.MIL3 ARCHITECTURE-5.F.MIL3 PROGRAM-3.F.MIL3","CTRL:SG4.SP1 RISK:SG3.SP1",,,,CA.L2-3.12.1,,,CA.L2-3.12.1,CA.L2-3.12.1,CA-2,,,,,,,"§ 11.10 § 11.10(a) § 11.10(b) § 11.10(c) § 11.10(d) § 11.10(e) § 11.10(f) § 11.10(g) § 11.10(h) § 11.10(i) § 11.10(j) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)",,,,,,,,,,,,,,,314.4(d)(1),164.308(a)(8),,,,"1.6 1.6.1 1.6.2 1.6.3 2.D.3 CA-2",,,8-610,"4.1 4.4",,,,,5.11,,,,,,,,,,,,,17.03(2)(h),,,Sec 4(2)(b)(ii)(B)(4),"622(2)(B)(i) 622(2)(B)(ii) 622(2)(B)(iii) 622(2)(B)(iv) ","38-99-20(C)(4) 38-99-20(E)(2)(a) 38-99-20(E)(2)(b)",,Sec 11,CA-2,,,,,,"3.3.6(26) 3.3.6(27) 3.4.6(41) 3.4.6(42) 3.4.6(43) 3.4.6(43)(a) 3.4.6(43)(b) 3.4.6(44) 3.4.6(45) 3.4.6(46) 3.4.6(47) 3.4.6(48)",,,"Art 5.2 Art 32.3",Article 21.1,"Art 3 Art 29","Principle 3.4.b Principle 3.6.a Principle 3.6.b Principle 3.6.b.i Principle 3.6.b.ii Principle 3.6.b.iii Principle 3.6.b.iii.1 Principle 3.6.b.iii.2 Principle 3.6.b.iv Principle 3.6.b.iv.1 Principle 3.6.b.iv.2 Principle 3.6.b.v Principle 3.6.b.vi Principle 3.6.b.vii Principle 3.6.b.viii Principle 3.6.c Principle 3.6.d Principle 3.6.e Principle 3.6.f Principle 3.6.g Principle 3.6.h Principle 3.7.a Principle 3.7.b Principle 3.7.c Principle 3.7.d Principle 3.7.e",,,Art 13,Art 41 ,,Art 34,,5.6,COM-03,,Sec 7,Sec 2,3.1,"Sec 16 Sec 17",Sec 31,,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15","Article 11.7 Article 11.8",Art 7,"1-4-1 2-13-4",,"3.2.4 3.2.5","1-3-2 1-8-1","1-6 1-6-1 1-6-2",,,"Sec 8 Sec 19 Sec 21",,,Sec 31,,,,B3.a,,,,,,,,,,,,,30,,,"Article 38(1) Article 38(2) Article 40",,,,"Article 40(1) Article 40(2) Article 40(3)","4.6.1 4.6.2 4.6.2.2 4.6.2.5 4.2.6.6 4.6.2.7 18.2.2",Sec 9,,"4.3.16.C.01 6.1.7.C.01 6.1.9.C.01 23.2.18.C.01",,Sec 25,Sec 24,,4.5.1,,,Art 9,,,,,6.10,,,Art 7,,,,,,,,,x,"MA 201 CMR 17 OR 6464A NAIC",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- renamed control - wordsmithed control" Compliance,Independent Assessors ,CPL-03.1,"Mechanisms exist to utilize independent assessors to evaluate cybersecurity & data protection controls at planned intervals or when the system, service or project undergoes significant changes.","- Information Assurance Program (IAP) - Security Test & Evaluation (STE)",E-CPL-07,"Does the organization utilize independent assessors to evaluate cybersecurity & data protection controls at planned intervals or when the system, service or project undergoes significant changes?",6,Detect,,X,,"There is no evidence of a capability to utilize independent assessors to evaluate cybersecurity & data protection controls at planned intervals or when the system, service or project undergoes significant changes.","Compliance (CPL) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern statutory, regulatory and contractual compliance obligations. • IT personnel self-identify a set of controls that are used to conduct cybersecurity & data privacy control assessments. • IT personnel perform internal assessments of cybersecurity & data protection controls to determine compliance status. • F or specific statutory, regulatory and/ or contractual obligations, stakeholders may contract with a third-party auditor/assessor to perform an independent assessment of cybersecurity & data protection controls.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data protection controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity personnel either use an impartial member of its team or a third-party assessor to perform an independent assessment of cybersecurity & data protection controls.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data protection controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data protection controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data protection controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • Cybersecurity personnel either use an impartial member of its team or a third-party assessor to perform an independent assessment of cybersecurity & data protection controls.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize independent assessors to evaluate cybersecurity & data protection controls at planned intervals or when the system, service or project undergoes significant changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize independent assessors to evaluate cybersecurity & data protection controls at planned intervals or when the system, service or project undergoes significant changes.",,,,,,,,"MEA03.03 MEA03.04 MEA04.01",,"A&A-05 CEK-09",,,,,RQ-05-17,,9.2,,18.2.1,5.35,18.2.1,,"6.15.2 6.15.2.1",,,,,,,,,,,,CA-7(1),,CA-7(1),CA-7(1),CA-7(1),,,CA-7(1),CA-7(1),,,,CA-7(1),CA-7(1),3.4.9,,,,,,,NFO - CA-7(1),,,,,,,,,,,,,,,,,,,,B.1.1.28,,"1.5.1 1.5.2",,,,,,,"5.11 5.11.1 5.11.1.1 5.11.1.2 5.11.2 5.11.3 5.11.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.11,,,,,45.48.520,,,,,,,,,,,,,,,Sec 11,,,,,,,"3.3.6(25) 3.4.6(41) 3.4.6(42) 3.4.6(42) 3.4.6(43)(a) 3.4.6(43)(b)",,,"Art 40.2 Art 42.1 Art 42.2 Art 42.3 Art 42.4 Art 42.6 Art 42.7 Art 43.2",,Art 3,,,,,,,,,,COM-03,,,,,,,,,,,,,,,,1-4-2,"TPC-20 TPC-21",,1-8-2,"1-6-1 1-6-2",,,Sec 60,,9,,,,,,,,,,,,,,,,,,30,,,"Article 38(1) Article 38(2) Article 40",,,,,"4.6.1 4.6.2.5 18.2.1",,,6.1.8.C.01,,,,,,,,,,,,,"6.13 6.25",,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- wordsmithed control Compliance,Functional Review Of Cybersecurity & Data Protection Controls ,CPL-03.2,Mechanisms exist to regularly review technology assets for adherence to the organization’s cybersecurity & data protection policies and standards. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Internal audit program - NNT Change Tracker (https://www.newnettechnologies.com) - Operational review processes - Regular/yearly policy and standards review process - Governance, Risk and Compliance Solution (GRC) (ZenGRC, Archer, RSAM, Metric stream, etc.)",E-CPL-08,Does the organization regularly review technology assets for adherence to the organization’s cybersecurity & data protection policies and standards? ,8,Detect,X,X,X,There is no evidence of a capability to regularly review technology assets for adherence to the organization’s cybersecurity & data protection policies and standards. ,"Compliance (CPL) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern statutory, regulatory and contractual compliance obligations. • IT personnel self-identify a set of controls that are used to conduct cybersecurity & data privacy control assessments. • IT personnel perform internal assessments of cybersecurity & data privacy controls to determine compliance status.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity personnel either use an impartial member of its team or a third-party assessor to perform an independent assessment of cybersecurity & data privacy controls.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • Cybersecurity personnel either use an impartial member of its team or a third-party assessor to perform an independent assessment of cybersecurity & data privacy controls. • Up on completing an assessment, the GRC function generates a formal report that documents the assessment of cybersecurity & data privacy controls to determine the effectiveness of controls and their ability to meet regulatory and company standards requirements.","Compliance (CPL) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to regularly review technology assets for adherence to the organization’s cybersecurity & data protection policies and standards. ",CC4.1,CC7.2-POF4,,,,,,"MEA02.01 MEA02.02",Principle 16,"A&A-05 CEK-09 IVS-03 STA-11","CCM-07 GVN-04 SAP-10",,,,RQ-05-17,,9.1,,18.2.3 ,"5.35 5.36 8.8",18.2.3 ,,6.15.2.3,,,,"T1190, T1195, T1195.001, T1195.002, T1210",,Sec 4(C)(4),,PR.PO-P5,,"A-3 A-4",,"CA-2 RA-3","CA-2 RA-3","CA-2 RA-3","CA-2 RA-3","CA-2 RA-3","CA-2 RA-3","CA-2 RA-3","CA-2 RA-3","CA-2 RA-3",,,"CA-2 RA-3","CA-2 RA-3","CA-2 RA-3",3.4.9,"CA-2 RA-3","CA-2 RA-3",,RA-3,"CA-2 RA-3","CA-2 RA-3",,,,,,,,ID.IM-02,,,"1.2.7 10.7 10.7.1 10.7.2 10.7.3 11.1 12.4.2",,1.2.7,,,,,"1.2.7 10.7.2 10.7.3","1.2.7 10.7.1 10.7.2 10.7.3 12.4.2",,L.6.1,,5.2.5,,,,,"CTRL:SG3.SP1 CTRL:SG4.SP1 RISK:SG3.SP1",,,,,,,,,"CA-2 RA-3",,,,,,,"§ 11.10 § 11.10(a) § 11.10(b) § 11.10(c) § 11.10(d) § 11.10(e) § 11.10(f) § 11.10(g) § 11.10(h) § 11.10(i) § 11.10(j) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2) § 11.300(e)",,,,,,,,,,,,,,,,,,,,"CA-2 RA-3",,,8-610,"4.1 4.4",,,,,5.11,,,,,,,,,,,,,,,,Sec 4(2)(b)(ii)(B)(4),,38-99-20(C)(4),,Sec 11,"CA-2 RA-3",RA-3,RA-3,,,,"3.3.6(26) 3.3.6(27) 3.4.6(41) 3.4.6(42) 3.4.6(43) 3.4.6(43)(a) 3.4.6(43)(b) 3.4.6(44) 3.4.6(45) 3.4.6(46) 3.4.6(47) 3.4.6(48)",,,,Article 21.1,Art 3,,,,,,,,,5.6,COM-01,,,,"3.1 3.3 12.30",,,,,,,,,,"Article 11.7 Article 11.8",,1-4-1,,,1-8-1,,,,,,,,,,,B3.a,,,,,,,,,,,,,,,,Article 54,,,,,18.2.3,,,"6.1.7.C.01 6.1.9.C.01 23.2.18.C.01",,,,,4.5.1,,,,,,5.7,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- renamed control - wordsmithed control" Compliance,Audit Activities ,CPL-04,Mechanisms exist to thoughtfully plan audits by including input from operational risk and compliance partners to minimize the impact of audit-related activities on business operations.,- Internal audit program,,Does the organization thoughtfully plan audits by including input from operational risk and compliance partners to minimize the impact of audit-related activities on business operations?,5,Identify,,X,,There is no evidence of a capability to thoughtfully plan audits by including input from operational risk and compliance partners to minimize the impact of audit-related activities on business operations.,"Compliance (CPL) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern statutory, regulatory and contractual compliance obligations. • IT personnel self-identify a set of controls that are used to conduct cybersecurity & data privacy control assessments. • IT personnel perform internal assessments of cybersecurity & data privacy controls to determine compliance status. • IT personnel use an informal process to notify stakeholders about audit activities to minimize the impact of audit/assessment activities on business operations.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity personnel use an informal process to notify stakeholders about audit activities to minimize the impact of audit activities on business operations.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • Cybersecurity personnel use an defined process to notify stakeholders about audit activities to minimize the impact of audit activities on business operations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to thoughtfully plan audits by including input from operational risk and compliance partners to minimize the impact of audit-related activities on business operations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to thoughtfully plan audits by including input from operational risk and compliance partners to minimize the impact of audit-related activities on business operations.",CC4.1,,,,,,,,Principle 16,A&A-05,,,,,,,9.2,,12.7.1 ,"5.35 8.34",12.7.1 ,,"6.9.7 6.9.7.1",,,,,,,GOVERN 1.5,,,,,,,,,,,,,,,,,,,3.4.9,,,,,,,,,,,,,,ID.IM-04,,,,,,,,,,,,,L.8.4.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CIP-014-2 R2",,,,,,,,,,,"IV.C.2.a IV.C.2.b IV.C.2.c IV.C.2.d IV.C.2.e IV.C.2.e.i IV.C.2.e.ii IV.C.2.e.iii IV.C.2.e.iv IV.C.2.f",,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 3,,,,,,,,,,"COM-02 COM-03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.6.1 12.7.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-BC-1 R-EX-1 R-EX-2 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1",,,,,,,,R-BC-1,,,,,R-EX-1,R-EX-2,,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Compliance,Legal Assessment of Investigative Inquires,CPL-05,"Mechanisms exist to determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.",,,"Does the organization determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary?",2,Respond,,X,,"There is no evidence of a capability to determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.","SP-CMM1 is N/A, since a structured process is required to determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine whether a government agency has an applicable and valid legal basis to request data from the organization and what further steps need to be taken, if necessary.",,,,,,,,,,DSP-18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,INQ-01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 41,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Compliance,Investigation Request Notifications,CPL-05.1,"Mechanisms exist to notify customers about investigation request notifications, unless the applicable legal basis for a government agency's action prohibits notification (e.g., potential criminal prosecution).",,,"Does the organization notify customers about investigation request notifications, unless the applicable legal basis for a government agency's action prohibits notification (e.g., potential criminal prosecution)?",2,Respond,,X,,"There is no evidence of a capability to notify customers about investigation request notifications, unless the applicable legal basis for a government agency's action prohibits notification (e.g., potential criminal prosecution).","SP-CMM1 is N/A, since a structured process is required to notify customers about investigation request notifications, unless the applicable legal basis for a government agency's action prohibits notification (e.g., potential criminal prosecution).","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Requests for investigations are handled through a formal, management-approved process. • Legal representation is consulted on an as-needed basis.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • An Integrated Security Incident Response Team (ISIRT) is formed to analyze and respond to government investigation requests, with legal representation being a key stakeholder. • Client or host-nation requests are formally evaluated to determine the risk impact of the request.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to notify customers about investigation request notifications, unless the applicable legal basis for a government agency's action prohibits notification (e.g., potential criminal prosecution).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to notify customers about investigation request notifications, unless the applicable legal basis for a government agency's action prohibits notification (e.g., potential criminal prosecution).",,,,,,,,,,DSP-18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.9.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,INQ-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Compliance,Investigation Access Restrictions,CPL-05.2,"Mechanisms exist to support official investigations by provisioning government investigators with ""least privileges"" and ""least functionality"" to ensure that government investigators only have access to the data and systems needed to perform the investigation.",,,"Does the organization support official investigations by provisioning government investigators with ""least privileges"" and ""least functionality"" to ensure that government investigators only have access to the data and systems needed to perform the investigation?",2,Protect,,X,,"There is no evidence of a capability to support official investigations by provisioning government investigators with ""least privileges"" and ""least functionality"" to ensure that government investigators only have access to the data and systems needed to perform the investigation.","SP-CMM1 is N/A, since a structured process is required to support official investigations by provisioning government investigators with ""least privileges"" and ""least functionality"" to ensure that government investigators only have access to the data and systems needed to perform the investigation.","Compliance (CPL) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Compliance activities are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for compliance activities. • Cybersecurity personnel use a defined set of controls to conduct cybersecurity & data privacy control assessments, as defined by the applicable statutory, regulatory and contractual requirements. • Legal representation is consulted on an as-needed basis.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • An Integrated Security Incident Response Team (ISIRT) is formed to analyze and respond to government investigation requests, with legal representation being a key stakeholder. • Client or host-nation requests are formally evaluated to determine the risk impact of the request.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to support official investigations by provisioning government investigators with ""least privileges"" and ""least functionality"" to ensure that government investigators only have access to the data and systems needed to perform the investigation.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to support official investigations by provisioning government investigators with ""least privileges"" and ""least functionality"" to ensure that government investigators only have access to the data and systems needed to perform the investigation.",,,,,,,,,,DSP-18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IV.C.1 IV.C.2 IV.C.2.a IV.C.2.b IV.C.2.c IV.C.2.d IV.C.2.e IV.C.2.e.i IV.C.2.e.ii IV.C.2.e.iii IV.C.2.e.iv IV.C.2.f",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"INQ-03 INQ-04",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 61(4) Article 63 Article 63(1) Article 63(2) Article 63(3) Article 63(4) Article 64",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Compliance,Government Surveillance,CPL-06,"Mechanisms exist to constrain the host government from having unrestricted and non-monitored access to the organization's systems, applications and services that could potentially violate other applicable statutory, regulatory and/or contractual obligations.",- Board of Directors (Bod) Ethics Committee,,"Does the organization constrain the host government from having unrestricted and non-monitored access to the organization's systems, applications and services that could potentially violate other applicable statutory, regulatory and/or contractual obligations?",10,Protect,X,X,X,"There is no evidence of a capability to constrain the host government from having unrestricted and non-monitored access to the organization's systems, applications and services that could potentially violate other applicable statutory, regulatory and/ or contractual obligations.","SP-CMM1 is N/A, since a structured process is required to constrain the host government from having unrestricted and non-monitored access to the organization's systems, applications and services that could potentially violate other applicable statutory, regulatory and/ or contractual obligations.","SP-CMM2 is N/A, since a well-defined process is required to constrain the host government from having unrestricted and non-monitored access to the organization's systems, applications and services that could potentially violate other applicable statutory, regulatory and/ or contractual obligations.","Compliance (CPL) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to ensure compliance requirements are identified and documented. • The GRC function, or similar function: o Ensures data/process owners understand their requirements to manage applicable cybersecurity & data privacy controls through oversight and written guidance. o Provides applicable stakeholders with status reports on control execution to enable security controls oversight. o Works with data/process owners and asset custodians to document and validate the scope of cybersecurity & data privacy controls to ensure statutory, regulatory and/ or contractual compliance obligations are met. o Conducts cybersecurity & data privacy control assessments, on a regular cadence that is defined by the applicable statutory, regulatory and contractual requirements. • Cybersecurity and data privacy controls are centrally managed through a technology solution (e.g., GRC solution) to assign controls, track control activities and report on compliance efforts. • An Integrated Security Incident Response Team (ISIRT) is formed to analyze and respond to government investigation requests, with legal representation being a key stakeholder. • Client or host-nation requests are formally evaluated to determine the risk impact of the request. • The CIO/CISO collaborate on methods to prevent a host government from having unrestricted and non-monitored access to the organization's systems, applications and services which could potentially violate other applicable statutory, regulatory and/ or contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to constrain the host government from having unrestricted and non-monitored access to the organization's systems, applications and services that could potentially violate other applicable statutory, regulatory and/ or contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to constrain the host government from having unrestricted and non-monitored access to the organization's systems, applications and services that could potentially violate other applicable statutory, regulatory and/ or contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.9.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 24 Article 27 Article 31 Article 33 Article 44",,"Article 11 Article 12 Article 26 Article 38(4) Article 40 Article 47(5) Article 60 Article 61(4) Article 63(3) Article 63(4) Article 64",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Configuration Management Program,CFG-01,Mechanisms exist to facilitate the implementation of configuration management controls.,"- NNT Change Tracker (https://www.newnettechnologies.com) - Configuration Management Database (CMDB) - Baseline hardening standards - Formalized DevOps program - Information Assurance Program (IAP) - Security Test & Evaluation (STE)",,Does the organization facilitate the implementation of configuration management controls?,9,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of configuration management controls.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for secure configuration management practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization with regards to secure configuration management. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data to ensure that secure configuration management are identified and documented. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including secure configuration management to provide clear and authoritative accountability for secure configuration management operations. • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC7.1,CC7.1-POF1,,"4.0 4.1",4.1,4.1,4.1,"BAI10.01 BAI10.02 BAI10.03 BAI10.04 BAI10.05 DSS06.06",,"UEM-03 UEM-07","CCM-02 CCM-08",,,CR 7.6 (11.8.1),,,,,9.4.1 ,"8.3 8.9 8.12",9.4.1 ,,,,,,"T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1008, T1011, T1011.001, T1020.001, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1027, T1029, T1030, T1036, T1036.001, T1036.003, T1036.005, T1036.007, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1046, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.002, T1053.005, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1078, T1078.002, T1078.003, T1078.004, T1087, T1087.001, T1087.002, T1090, T1090.001, T1090.002, T1090.003, T1091, T1092, T1095, T1098, T1098.001, T1098.002, T1098.003, T1098.004, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1106, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.002, T1114.003, T1119, T1127, T1127.001, T1132, T1132.001, T1132.002, T1133, T1134, T1134.001, T1134.002, T1134.003, T1134.005, T1135, T1136, T1136.001, T1136.002, T1136.003, T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1176, T1187, T1189, T1190, T1197, T1199, T1201, T1204, T1204.001, T1204.002, T1204.003, T1205, T1205.001, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.007, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1222, T1222.001, T1222.002, T1482, T1484, T1489, T1490, T1495, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1505, T1505.001, T1505.002, T1505.003, T1505.004, T1525, T1528, T1530, T1537, T1539, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.002, T1546, T1546.002, T1546.003, T1546.004, T1546.006, T1546.008, T1546.013, T1546.014, T1547.002, T1547.003, T1547.005, T1547.006, T1547.007, T1547.008, T1547.011, T1547.013, T1548, T1548.001, T1548.002, T1548.003, T1548.004, T1550, T1550.001, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.003, T1552.004, T1552.005, T1552.006, T1552.007, T1553, T1553.001, T1553.003, T1553.004, T1553.005, T1554, T1555.004, T1555.005, T1556, T1556.001, T1556.002, T1556.003, T1556.004, T1557, T1557.001, T1557.002, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1559.002, T1562, T1562.001, T1562.002, T1562.003, T1562.004, T1562.006, T1562.009, T1562.010, T1563, T1563.001, T1563.002, T1564.002, T1564.006, T1564.007, T1564.009, T1565, T1565.001, T1565.002, T1565.003, T1566, T1566.001, T1566.002, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.001, T1574.004, T1574.005, T1574.006, T1574.007, T1574.008, T1574.009, T1574.010, T1598, T1598.002, T1598.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1609, T1610, T1611, T1612, T1613",TS-2.6,,,PR.PO-P1,,,,"CM-1 CM-9",CM-1,"CM-1 CM-9","CM-1 CM-9","CM-1 CM-9",CM-1,CM-1,"CM-1 CM-9","CM-1 CM-9",,,CM-1,"CM-1 CM-9","CM-1 CM-9","3.3.5 3.4.7 3.4.8","CM-1 CM-9",CM-1,CM-9,CM-1,"CM-1 CM-9","CM-1 CM-9","NFO - CM-1 NFO - CM-9",,,A.03.04.03.a,,,PR.IP-1,"PR.PS PR.PS-01",A05:2021,1.1.5,"2.1 8.5",,,,,,,,,,D.1.1,,,,,,,TM:SG4.SP2,,,,,,,,,"CM-1 CM-9",,,,,,,,"CM-1 CM-9 ",CM-1,"CM-1 CM-9 ","CM-1 CM-9 ",CM-1,"CM-1 CM-9",CM-1,"CM-1 CM-9","CM-1 CM-9",CM-1,,,,,,,"1.S.A 2.S.A 3.S.A 6.S.B 6.S.C","1.M.A 2.M.A 9.M.A 9.M.B","1.M.A 2.M.A 9.M.A 9.M.B 2.L.A","CM-1 CM-9",,,"8-311 8-610","5.1 5.2",,,,,,CM-1,"CM-1 CM-9 ","CM-1 CM-9 ",,,,,,6-1-1305(4),,,,,,,,,,,,CM-1,CM-1,"CM-1 CM-9",,,,,"Art 9.3(a) Art 9.3(b) Art 9.3(c) Art 9.3(d)",,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,6.8,AM-03,,,,"3.3 9.22 9.23 14.1",,,,,,,,,,,,2-3-1-6,TPC-2,,"1-6-2-2 2-4-4 2-5-4",,,,,,7.3.3 [OP.EXP.3],,,,,B4.b,B4,2,,,,Principle 1.1,Principle 1.1,,,,,,,,,,,,,,"9.4.1 9.4.1.8.PB",,,"4.3.19.C.01 12.2.5.C.01 12.2.5.C.02 12.2.6.C.01 12.2.6.C.02 18.1.10.C.01 18.1.10.C.02 18.1.10.C.03 18.1.10.C.04",,,,4.3(a),"7.2.1 7.2.2 7.3.1 7.3.2 7.3.3",,,,,,6.1,,,3.2.3,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Configuration Management,Assignment of Responsibility,CFG-01.1,Mechanisms exist to implement a segregation of duties for configuration management that prevents developers from performing production configuration management duties.,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization implement a segregation of duties for configuration management that prevents developers from performing production configuration management duties?,5,Identify,,X,X,There is no evidence of a capability to implement a segregation of duties for configuration management that prevents developers from performing production configuration management duties.,"SP-CMM1 is N/A, since a structured process is required to implement a segregation of duties for configuration management that prevents developers from performing production configuration management duties.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • The Human Resources (HR) department ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. • HR defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • The Human Resources (HR) department ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. • HR defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement a segregation of duties for configuration management that prevents developers from performing production configuration management duties.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a segregation of duties for configuration management that prevents developers from performing production configuration management duties.",,,,,,,,,,,,,,,,,,,,8.9,,,,,,,,,,,,,,,CM-9(1),,,,CM-9(1),,,,,CM-9(1),,,,,,,,,,,,,,,,,,,,,,2.1,,,,,,,,,,G.2.5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.3.19.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,System Hardening Through Baseline Configurations ,CFG-02,"Mechanisms exist to develop, document and maintain secure baseline configurations for technology platforms that are consistent with industry-accepted system hardening standards. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs) - Center for Internet Security (CIS) Benchmarks - NNT Change Tracker (https://www.newnettechnologies.com)","E-AST-12 E-AST-13 E-AST-14 E-AST-15 E-AST-16 E-AST-17 E-AST-18 E-AST-19 E-AST-20 E-AST-21","Does the organization develop, document and maintain secure baseline configurations for technology platforms that are consistent with industry-accepted system hardening standards? ",10,Protect,X,X,X,"There is no evidence of a capability to develop, document and maintain secure baseline configurations for technology platforms that are consistent with industry-accepted system hardening standards. ","Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • The review of any request for deviating from baseline configurations is documented and a risk assessment performed to determine if the deviation is acceptable.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • Secure baseline configurations: o Enforce logging to link system access to individual users or service accounts using a non-repudiation capability to protect against an individual falsely denying having performed a particular action. o Generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. o Restrict access to the management of event logs for privileged users to protect event logs and audit tools from unauthorized access, modification and deletion. o Retain security event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. o Store logs locally and forward logs to a centralized log repository to provide an alternate audit capability in the event of a failure in the primary audit capability. o Use internal system clocks to generate time stamps for security event logs that are synchronized with an authoritative time source. ","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Secure baseline configurations: o Enforce logging that links system access to individual users or service accounts using non-repudiation to protect against an individual falsely denying having performed a particular action. o Generate logs that contain sufficient information to establish necessary details of activity and allow for forensic analysis. o Prevent sensitive/regulated data from being captured in log files. o Restrict access to the management of event logs for privileged users to protect event logs and audit tools from unauthorized access, modification and deletion. o Retain security event logs for a time period consistent with records retention requirements for investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. o Store logs locally and forward logs to a centralized log repository to provide an alternate audit capability in the event of a failure in primary audit capability. o Use internal system clocks to generate time stamps for security event logs that are synchronized with an authoritative time source. o Verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","CC7.1 CC8.1",CC7.1-POF1,,"4.1 4.3 4.4 4.5 4.6 4.7 4.8 4.11 10.3 10.4 10.5 16.7","4.1 4.3 4.4 4.5 4.6 4.7 10.3","4.1 4.3 4.4 4.5 4.6 4.7 4.8 4.11 10.3 10.4 10.5 16.7","4.1 4.3 4.4 4.5 4.6 4.7 4.8 4.11 10.3 10.4 10.5 16.7","BAI10.02 DSS06.06",,"AIS-02 CCC-06 IVS-03 IVS-04 UEM-07","CLS-05 IOT-02 IOT-07 SWS-01 SWS-02",,,"CR 2.2 (6.4.1) CR 7.6 (11.8.1)",,,,,"9.4.1 14.1.1","8.3 8.5 8.9 8.12 8.25 8.26","9.4.1 CLD.9.5.2 14.1.1",,"6.11 6.11.1 6.11.1.1",,,,"T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1008, T1011.001, T1020.001, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1027, T1029, T1030, T1036, T1036.001, T1036.003, T1036.005, T1036.007, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1046, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.002, T1053.005, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1080, T1090, T1090.001, T1090.002, T1091, T1092, T1095, T1098.004, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1106, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.002, T1119, T1127, T1127.001, T1129, T1132, T1132.001, T1132.002, T1133, T1134.005, T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1176, T1185, T1187, T1189, T1201, T1204, T1204.001, T1204.002, T1204.003, T1205, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.007, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1484, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1505, T1505.001, T1505.002, T1505.003, T1505.004, T1525, T1528, T1530, T1539, T1542.004, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546, T1546.002, T1546.003, T1546.004, T1546.006, T1546.010, T1546.013, T1546.014, T1547.003, T1547.007, T1547.008, T1547.011, T1547.013, T1548, T1548.002, T1548.003, T1548.004, T1550.001, T1550.003, T1552, T1552.001, T1552.004, T1552.006, T1553, T1553.001, T1553.003, T1553.005, T1554, T1555.004, T1555.005, T1556, T1556.004, T1557, T1557.001, T1557.002, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1559.002, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.003, T1562.004, T1562.006, T1562.010, T1563, T1563.001, T1563.002, T1564.006, T1564.007, T1564.009, T1565, T1565.001, T1565.002, T1566, T1566.001, T1566.002, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.001, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1598, T1598.002, T1598.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002","TS-1.1 TS-2.3 TS-2.11",,,PR.PO-P1,,I-2,,"CM-2 CM-6 SA-8","CM-2 CM-6","CM-2 CM-6 SA-8","CM-2 CM-6 SA-8","CM-2 CM-6 PL-10 SA-8 SA-15(5)",,"CM-2 CM-6 SA-8 PL-10","CM-2 CM-6 SA-8 PL-10","CM-2 CM-6 SA-8 PL-10",SA-15(5),,"CM-2 CM-6 SA-8 PL-10","CM-2 CM-6 SA-8 PL-10","CM-2 CM-6 SA-8 PL-10","3.4.7 3.4.8","CM-2 CM-6 PL-10 SA-8","CM-2 CM-6 PL-10 SA-8","CM-2 CM-6",SA-8,"CM-2 CM-6 PL-10 SA-8","CM-2 CM-6 PL-10 SA-8","3.4.1 3.4.2","3.1.12.a 3.1.16.a 3.1.18.a 3.1.18.c 3.4.1.a 3.4.2.a 3.4.6.a 3.4.6.b 3.4.6.a 3.4.6.b 3.4.6.d 3.5.7.e 3.5.7.f 3.5.12.d","3.4.1[a] 3.4.1[b] 3.4.1[c] 3.4.2[a] 3.4.2[b]","A.03.01.12.a[03] A.03.01.16.a[03] A.03.01.18.a[02] A.03.03.01.a A.03.03.07.b[01] A.03.04.01.a[01] A.03.04.01.a[02] A.03.04.02.a[01] A.03.04.02.a[02] A.03.04.02.ODP[01] A.03.04.06.ODP[01] A.03.04.06.ODP[02] A.03.04.06.ODP[03] A.03.04.06.ODP[04] A.03.04.06.ODP[05] A.03.04.06.ODP[06] A.03.04.06.ODP[07] A.03.04.06.ODP[08] A.03.04.06.ODP[09] A.03.04.06.ODP[10] A.03.05.07.f","3.4.1e 3.4.2e 3.14.3e",PO.5.2,"PR.IP-1 PR.IP-3","PR.AA-05 PR.PS-01 PR.PS-02 PR.PS-03","A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021","1.1 1.1.1 2.2 2.2.1 2.2.2 2.2.3 2.2.4","1.1 1.2.1 1.2.6 2.2.1 8.3.2 8.5 10.2 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6 10.6.1 10.6 10.6.1 10.6.2 10.6.3 11.2",,"1.2.1 1.2.6 2.2.1 8.3.2 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6.1 10.6.2 10.6.3",,1.2.6,"2.2.1 8.3.2 10.2.1.2 10.2.1.4 10.2.1.5 10.2.2 10.6.1 10.6.2 10.6.3",,"1.2.1 1.2.6 2.2.1 8.3.2 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6.1 10.6.2 10.6.3","1.2.1 1.2.6 2.2.1 8.3.2 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6.1 10.6.2 10.6.3",,N.9,"1.3 2.3 2.10 4.1",,,,,"ASSET-3.A.MIL1 ASSET-3.B.MIL2 ASSET-3.C.MIL2 ARCHITECTURE-3.E.MIL2 ARCHITECTURE-3.F.MIL2 ARCHITECTURE-3.G.MIL2 ARCHITECTURE-4.C.MIL2","TM:SG2.SP1 TM:SG4.SP2","2.1 2.2 2.4 2.5","5.13.1.3 5.13.1.4",,"CM.L2-3.4.1 CM.L2-3.4.2","CM.L2-3.4.2 TBD - 3.4.1e TBD - 3.4.2e TBD - 3.14.3e",,"CM.L2-3.4.1 CM.L2-3.4.2","CM.L2-3.4.1 CM.L2-3.4.2 CM.L3-3.4.1e CM.L3-3.4.2e SI.L3-3.14.3e","CM-2 CM-6 SA-8",,252.204-7008 ,,,,,,"CM-2 CM-6 SA-8","CM-2 CM-6 ","CM-2 CM-6 SA-8","CM-2 CM-6 SA-8","CM-2 CM-6 ","CM-2 CM-6 PL-10 SA-8","CM-2 CM-6 PL-10","CM-2 CM-6 PL-10 SA-8","CM-2 CM-6 PL-10 SA-8","CM-2 CM-6 PL-10",,"D3.PC.Im.B.5 D1.G.IT.B.4",,,,,"1.S.A 2.S.A 3.S.A 6.S.B 6.S.C","1.M.A 2.M.A 7.M.D 9.M.A 9.M.B","1.M.A 2.M.A 7.M.D 9.M.A 9.M.B 2.L.A","2.D.8 3.3.7 CM-2 CM-6 SA-8",,,"8-202 8-311 8-610","1.2 3.1 5.1 5.2",6.10,,,,,"CM-2 CM-6 ","CM-2 CM-6 ","CM-2 CM-6 ",,,,,,6-1-1305(4),,,,,,,,,,,,"CM-2 CM-6 SA-8","CM-2 CM-6","CM-2 CM-6 SA-8",,,,3.4.4(36)(b),"Art 9.3(a) Art 9.3(b) Art 9.3(c) Art 9.3(d)",,,Article 21.5,,,,,,,,,,6.8,"AM-02 AM-03 OPS-23",,,,"3.3 4.9 4.12 4.15 6.1 9.21 12.13 12.24 12.29 13.5 13.6 14.2 15.6",,,,,,,,,,,,"1-3-2-3 2-3-1-7","TPC-10 TPC-13 TPC-14 TPC-15 TPC-16 TPC-17 TPC-22 TPC-38 TPC-56 TPC-63 TPC-87",,"1-3-3 2-4-1 2-4-2 5-1-3-7","2-2-1-5 2-3-1-1 2-3-1-7",,,,,7.3.2 [OP.EXP.2],,,,,B4.b,B4,2,,,"Principle 3.1 Principle 3.2 Principle 3.3 Principle 3.4 Principle 4.1 Principle 4.2 Principle 4.3 Principle 4.4","Principle 3.1 Principle 3.2 Principle 3.3 Principle 3.4 Principle 3.5 Principle 4.1 Principle 4.2 Principle 4.3 Principle 4.4 Principle 4.5 Principle 4.6 Principle 4.7 Principle 4.8 Principle 4.9 Principle 4.10 Principle 4.11 Principle 4.12 Principle 4.13","Principle 1.3 Principle 1.4 Principle 1.7 Principle 3.1 Principle 3.2 Principle 3.3 Principle 3.4 Principle 3.5 Principle 3.6 Principle 3.7 Principle 3.8 Principle 3.9 Principle 3.10 Principle 3.11 Principle 4.1 Principle 4.2 Principle 4.3 Principle 4.4 Principle 4.5 Principle 4.6 Principle 4.7 Principle 4.8 Principle 4.9 Principle 4.10 Principle 4.11 Principle 4.12 Principle 4.13 Principle 4.14 Principle 4.15 Principle 4.16 Principle 4.17 Principle 5.13",,,"1562 0341 0343 1406 1608 1407 1408 1409 0383 0380 1584 1491 1492 1621 1622 1623 1624 1418 0345 1604 1745 1709 1710",,,,,,,,,,,"9.4.1 9.4.1.8.PB 14.1.1",,,"14.1.8.C.01 14.1.9.C.01 14.1.9.C.02 14.1.10.C.01 14.1.10.C.02 14.3.7.C.01 23.2.21.C.01",,,,4.3(a),"11.2.5 11.3.1 11.3.2",,,,,,,,"4.16 4.20","3.2.3 3.2.8",,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Reviews & Updates,CFG-02.1,"Mechanisms exist to review and update baseline configurations: ▪ At least annually; ▪ When required due to so; or ▪ As part of system component installations and upgrades.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Defense Information Security Agency (DISA) Secure Technology Implementation Guides (STIGs) - Center for Internet Security (CIS) Benchmarks - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization review and update baseline configurations: ▪ At least annually; ▪ When required due to so; or ▪ As part of system component installations and upgrades?",8,Detect,,X,X,"There is no evidence of a capability to review and update baseline configurations: ▪ At least annually; ▪ When required due to so; or ▪ As part of system component installations and upgrades.","Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • Configurations are reviewed only when new operating systems or versions of applications are released.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC8.1,,,"4.1 4.2","4.1 4.2","4.1 4.2","4.1 4.2","BAI10.03 BAI10.05",,"CCC-06 IVS-03 IVS-04",,,,,,,,,,8.9,,,,,,,"T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1008, T1011.001, T1020.001, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1027, T1029, T1030, T1036, T1036.001, T1036.003, T1036.005, T1036.007, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1046, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.002, T1053.005, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1080, T1090, T1090.001, T1090.002, T1091, T1092, T1095, T1098.004, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1106, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.002, T1119, T1127, T1127.001, T1129, T1132, T1132.001, T1132.002, T1133, T1134.005, T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1176, T1185, T1187, T1189, T1201, T1204, T1204.001, T1204.002, T1204.003, T1205, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.007, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1484, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1505, T1505.001, T1505.002, T1505.003, T1505.004, T1525, T1528, T1530, T1539, T1542.004, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546, T1546.002, T1546.003, T1546.004, T1546.006, T1546.010, T1546.013, T1546.014, T1547.003, T1547.007, T1547.008, T1547.011, T1547.013, T1548, T1548.002, T1548.003, T1548.004, T1550.001, T1550.003, T1552, T1552.001, T1552.004, T1552.006, T1553, T1553.001, T1553.003, T1553.005, T1554, T1555.004, T1555.005, T1556, T1556.004, T1557, T1557.001, T1557.002, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1559.002, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.003, T1562.004, T1562.006, T1562.010, T1563, T1563.001, T1563.002, T1564.006, T1564.007, T1564.009, T1565, T1565.001, T1565.002, T1566, T1566.001, T1566.002, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.001, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1598, T1598.002, T1598.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002",TS-1.1,,,,,,,CM-2(1),,CM-2(1),CM-2(1),CM-2,,CM-2,CM-2,CM-2,,,CM-2,CM-2,CM-2,,CM-2,CM-2,CM-2,,CM-2,CM-2,NFO - CM-2(1),3.4.1.b,,"A.03.04.01.b[01] A.03.04.01.b[02] A.03.04.01.b[03] A.03.04.01.b[04]",,,,,,,,,,,,,,,,,M.1.8.1,,,,,,"ASSET-3.D.MIL2 ASSET-3.E.MIL3",,,,,,,,,,CM-2(1),,,,,,,,CM-2(1),,CM-2(1),CM-2(1),,,,,,,,,,,,,,,,CM-2,,,,,,,,,,,CM-2(1),CM-2(1),,,,,,,,,,,,,,,,,,CM-2,,CM-2(1),,,,,,,,,,,,,,,,,,,,,,,"3.3 14.3",,,,,,,,,,,,2-3-1-6,,,1-6-2-2,2-3-1-2,,,,,,,,,,B4.b,,,,,,,Principle 1.5,,,"1588 1407",,,,,,,,,,,,,,,,,,,11.2.5,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Automated Central Management & Verification ,CFG-02.2,Automated mechanisms exist to govern and report on baseline configurations of the systems. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization use automated mechanisms to govern and report on baseline configurations of the systems? ,7,Detect,,,X,There is no evidence of a capability to govern and report on baseline configurations of the systems. ,"SP-CMM1 is N/A, since a structured process is required to govern and report on baseline configurations of the systems. ","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC8.1,,,,,,,DSS06.06,,"CCC-06 CCC-07 CCC-08 UEM-04",CCM-03,,,CR 7.6 (11.8.3(1)),,,,,,,,,,,,,,,,,,,,,"CM-2(2) CM-6(1)",,,"CM-2(2) CM-6(1)","CM-2(2) CM-6(1)",,,CM-2(2),"CM-2(2) CM-6(1)",,,,CM-2(2),"CM-2(2) CM-6(1)",,CM-6(1),,,,,CM-6(1),,,,,3.4.3e,,,,,,,,,,,,,,,,D.1.1,,,,,,,,,,,,TBD - 3.4.3e,,,CM.L3-3.4.3e,CM-6(1),,,,,,,,"CM-2(2) CM-6(1)",,"CM-2(2) CM-6(1)","CM-2(2) CM-6(1)",,"CM-2(2) CM-6(1)",,"CM-2(2) CM-6(1)","CM-2(2) CM-6(1)",,,,,,,,,,2.L.A,CM-2(2),,"CIP-010-2 R2",,,,,,,,,CM-6(1),"CM-2(2) CM-6(1)",,,,,,,,,,,,,,,,,,,,"CM-2(2) CM-6(1)",,,,,,,,,,,,,,,,,,,,,,,"3.3 6.2 6.4 9.22 9.23 14.3 14.4",,,,,,,,,,,,,,,,,,,,,,,,,,B4.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.3(a) 4.3(b)",11.3.2,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-3 R-GV-1 R-GV-6 R-GV-7 R-SA-1",,,,,,,R-AM-3,,,R-BC-3,,,,,,,,,,R-GV-1,,,,,R-GV-6,R-GV-7,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Configuration Management,Retention Of Previous Configurations ,CFG-02.3,Mechanisms exist to retain previous versions of baseline configuration to support roll back. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization retain previous versions of baseline configuration to support roll back? ,3,Identify,,X,X,There is no evidence of a capability to retain previous versions of baseline configuration to support roll back. ,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Historical versions of configurations are maintained for troubleshooting and forensics reasons.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to retain previous versions of baseline configuration to support roll back. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to retain previous versions of baseline configuration to support roll back. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-2(3),,CM-2(3),CM-2(3),CM-2(3),,,CM-2(3),CM-2(3),,,,CM-2(3),CM-2(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,G.2.10,,,,,,,,,,,,,,,,CM-2(3),,,,,,,,CM-2(3),,CM-2(3),CM-2(3),,CM-2(3),,CM-2(3),CM-2(3),,,,,,,,,,,CM-2(3),,,,,,,,,,,CM-2(3),CM-2(3),,,,,,,,,,,,,,,,,,,,CM-2(3),,,,,,,,,,,,,,,,,,,,,,,14.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1510,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,,,,,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Development & Test Environment Configurations,CFG-02.4,Mechanisms exist to manage baseline configurations for development and test environments separately from operational baseline configurations to minimize the risk of unintentional changes.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization manage baseline configurations for development and test environments separately from operational baseline configurations to minimize the risk of unintentional changes?,5,Protect,,X,X,There is no evidence of a capability to manage baseline configurations for development and test environments separately from operational baseline configurations to minimize the risk of unintentional changes.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,"AIS-02 IVS-05",,,,,,,,,,8.25,,,,,,,,TS-2.5,,,,,,,CM-2(6),,,,CM-2(6),,,,,CM-2(6),,,,,,CM-2(6),,,,CM-2(6),CM-2(6),,,,,,"PO.5 PO.5.1 PO.5.2",,,,6.4.1,6.5.6,,,,,,,6.5.6,6.5.6,,I.1.1,,5.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.S.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"10.1 10.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0292,,,,,,,,,,,,,,"18.1.10.C.01 18.1.10.C.02 18.1.10.C.03 18.1.10.C.04",,,,,5.7.3,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,"Configure Systems, Components or Services for High-Risk Areas ",CFG-02.5,Mechanisms exist to configure systems utilized in high-risk areas with more restrictive baseline configurations.,- NNT Change Tracker (https://www.newnettechnologies.com),"E-AST-12 E-AST-13 E-AST-14 E-AST-15 E-AST-16 E-AST-17 E-AST-18 E-AST-19 E-AST-20 E-AST-21",Does the organization configure systems utilized in high-risk areas with more restrictive baseline configurations?,8,Protect,,X,X,There is no evidence of a capability to configure systems utilized in high-risk areas with more restrictive baseline configurations.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,16.7,,16.7,16.7,DSS06.06,,"AIS-02 IVS-03 IVS-04 UEM-14","CLS-05 IOT-02 IOT-07 SAP-09 SWS-01 SWS-02 SWS-03",,,"CR 2.2 (6.4.1) CR 7.6 (11.8.1)",,,,,,8.12,CLD.9.5.2,,,,,,,"TS-1.1 TS-2.3 TS-2.11",,,,,P-6,,CM-2(7),,CM-2(7),CM-2(7),"CM-2(7) CM-7(6) CM-7(7) CM-7(9)",,,CM-2(7),CM-2(7),,,,CM-2(7),CM-2(7),,"CM-7(6) CM-7(7) CM-7(9)",,,,"CM-7(6) CM-7(9)","CM-7(6) CM-7(7) CM-7(9)",NFO - CM-2(7),"3.4.1.a 3.4.12.a 3.4.12.b",,"A.03.04.12.ODP[01] A.03.04.12.ODP[02]",,"PO.5 PO.5.1 PO.5.2",,,,,"1.2.1 1.5 1.5.1 8.5 10.2 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6 10.6.1 10.6.2 10.6.3",,"1.2.1 1.2.6 1.5.1 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6.1 10.6.2 10.6.3",,1.2.6,"10.2.1.2 10.2.1.4 10.2.1.5 10.2.2 10.6.1 10.6.2 10.6.3",1.5.1,"1.2.1 1.2.6 1.5.1 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6.1 10.6.2 10.6.3","1.2.1 1.2.6 1.5.1 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2 10.6.1 10.6.2 10.6.3",,I.1.7.6,"1.3 2.3 2.6 2.10 4.1",,,,,"ARCHITECTURE-3.G.MIL2 ARCHITECTURE-3.K.MIL2",OPD:SG1.SP2,"2.4 2.5",,,,,,,,,,,,,,,,CM-2(7) ,,CM-2(7) ,CM-2(7) ,,CM-2(7),,CM-2(7),CM-2(7),,,,,,,,6.S.A,,,"3.3.7 CM-2(7) CM-7(9)",,,,"1.2 5.1 5.2",,,,,,,,CM-2(7) ,,,,,,,,,,,,,,,,,,,,CM-2(7),,,,,,,,,,,,,,,,,,,,,,,"4.12 9.21 10.7",,,,,,,,,,,,"1-3-2-3 2-3-1-7","TPC-10 TPC-13 TPC-14 TPC-15 TPC-16 TPC-17 TPC-22 TPC-38 TPC-56 TPC-63 TPC-87",,5-1-3-7,"2-2-1-5 2-3-1-7",,,,,,,,,,B4.b,B4,,,,,,,,,"1656 1657 1658 1659 1666 1667 1668 1669 1670 1748 1671 1672 1673 1674 1675 1676 1677 1678 1749 1800 0534",,,,,,,,,,,,,,"18.1.10.C.01 18.1.10.C.02 18.1.10.C.03 18.1.10.C.04 23.2.21.C.01",,,,,,,,,,,,,,3.2.3,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Network Device Configuration File Synchronization,CFG-02.6,Mechanisms exist to configure network devices to synchronize startup and running configuration files. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization configure network devices to synchronize startup and running configuration files? ,7,Protect,,,X,There is no evidence of a capability to configure network devices to synchronize startup and running configuration files. ,"SP-CMM1 is N/A, since a structured process is required to configure network devices to synchronize startup and running configuration files. ","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • IT infrastructure personnel configure network devices to synchronize startup and running configuration files. ","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • IT infrastructure personnel configure network devices to synchronize startup and running configuration files. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure network devices to synchronize startup and running configuration files. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure network devices to synchronize startup and running configuration files. ",,,,,,,,,,IVS-03,,,,CR 7.6 (11.8.1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.2.2,1.2.8,,1.2.8,,,,,1.2.8,1.2.8,,M.1.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.1.10.C.01 18.1.10.C.02 18.1.10.C.03 18.1.10.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Approved Configuration Deviations ,CFG-02.7,"Mechanisms exist to document, assess risk and approve or deny deviations to standardized configurations.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization document, assess risk and approve or deny deviations to standardized configurations?",9,Protect,,X,X,"There is no evidence of a capability to document, assess risk and approve or deny deviations to standardized configurations.","Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • The review of any request for deviating from baseline configurations is documented and a risk assessment performed to determine if the deviation is acceptable.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes are immediately reverted to approved configurations.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,"AIS-02 CCC-08",,,,,,,,,,,,,,,,,,,,,,,,,CM-6,CM-6,,,CM-6,,CM-6,CM-6,CM-6,,,CM-6,CM-6,CM-6,,CM-6,CM-6,CM-6,,CM-6,CM-6,,3.4.2.b,,,,PO.5.2,,,,,,,,,,,,,,,M.1.42,,,,,,,,,,,,,,,,CM-6,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-6,CM-6,CM-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B4.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.3(c),,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Respond To Unauthorized Changes ,CFG-02.8,Mechanisms exist to respond to unauthorized changes to configuration settings as security incidents. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Service Level Agreements (SLAs) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization respond to unauthorized changes to configuration settings as security incidents? ,9,Respond,,,X,There is no evidence of a capability to respond to unauthorized changes to configuration settings as security incidents. ,"SP-CMM1 is N/A, since a structured process is required to respond to unauthorized changes to configuration settings as security incidents. ","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Unauthorized configuration changes are immediately reverted to approved configurations.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,2.3,2.3,2.3,2.3,,,CCC-09,,,,,,,,,,,,,,,,,,,,,,,,,CM-6(2),,,CM-6(2),CM-6(2),,,,CM-6(2),,,,,CM-6(2),,CM-6(2),,,,,CM-6(2),,,,"A.03.04.02.b[01] A.03.04.02.b[02]",,,,,,,"10.7 10.7.1 10.7.2 10.7.3",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,J.2.31,,,,,,,,,,,,,,,,,,,,,,,,CM-6(2),,,CM-6(2),,CM-6(2),,,CM-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.6,,,,,,,,,,,,,,,,,,,,,2-3-1-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.19 4.20",,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Baseline Tailoring,CFG-02.9,"Mechanisms exist to allow baseline controls to be specialized or customized by applying a defined set of tailoring actions that are specific to: ▪ Mission / business functions; ▪ Operational environment; ▪ Specific threats or vulnerabilities; or ▪ Other conditions or situations that could affect mission / business success.","- DISA STIGs - CIS Benchmarks",,"Does the organization allow baseline controls to be specialized or customized by applying a defined set of tailoring actions that are specific to: ▪ Mission / business functions; ▪ Operational environment; ▪ Specific threats or vulnerabilities; or ▪ Other conditions or situations that could affect mission / business success?",9,Protect,,X,X,"There is no evidence of a capability to allow baseline controls to be specialized or customized by applying a defined set of tailoring actions that are specific to: ▪ Mission / business functions; ▪ Operational environment; ▪ Specific threats or vulnerabilities; or ▪ Other conditions or situations that could affect mission / business success.","Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,"AIS-02 IVS-03",,,,,"PM-06-13 RQ-06-14",,,,,,,,,,,,,,,,,,P-4,,,,,,PL-11,,PL-11,PL-11,PL-11,,,PL-11,PL-11,PL-11,,,,,,,,,,,,,,,,"A01:2021 A05:2021",,,,,,,,,,,,N.9,,,,,,,,2.5,,,,,,,,,,,,,,,,,,,,,PL-11,PL-11,PL-11,PL-11,PL-11,,,,,,,1.S.A,1.M.A,1.M.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,10.7,,,,,,,,,,,,,,,,2-3-1-7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.1.50.C.01 16.1.50.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Least Functionality,CFG-03,"Mechanisms exist to configure systems to provide only essential capabilities by specifically prohibiting or restricting the use of ports, protocols, and/or services. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization configure systems to provide only essential capabilities by specifically prohibiting or restricting the use of ports, protocols, and/or services? ",10,Protect,,,X,"There is no evidence of a capability to configure systems to provide only essential capabilities by specifically prohibiting or restricting the use of ports, protocols, and/ or services. ","Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • Administrative processes exist to prevent unauthorized access by limiting and reviewing permissions to change hardware, software and firmware components within a production/operational environment","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Administrative processes exist to prevent unauthorized access by limiting and reviewing permissions to change hardware, software and firmware components within a production/operational environment.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,CC6.1-POF6,,4.8,,4.8,4.8,,,"AIS-02 UEM-02",,,,"CR 2.2 (6.4.1) CR 7.7 (11.9.1)",,,,,9.4.1 ,"8.3 8.9 8.12",9.4.1 ,,,,,,"T1003, T1003.001, T1003.002, T1003.005, T1008, T1011, T1011.001, T1021.001, T1021.002, T1021.003, T1021.005, T1021.006, T1036, T1036.005, T1036.007, T1037, T1037.001, T1046, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.002, T1053.005, T1059, T1059.005, T1059.007, T1068, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1080, T1087, T1087.001, T1087.002, T1090, T1090.001, T1090.002, T1090.003, T1092, T1095, T1098, T1098.001, T1098.004, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1106, T1112, T1127, T1129, T1133, T1135, T1136, T1136.002, T1136.003, T1176, T1187, T1190, T1195, T1195.001, T1195.002, T1197, T1199, T1204, T1204.001, T1204.002, T1204.003, T1205, T1205.001, T1210, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.007, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1482, T1484, T1489, T1490, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1505.004, T1525, T1530, T1537, T1542.004, T1542.005, T1543, T1546.002, T1546.006, T1546.008, T1546.009, T1546.010, T1547.004, T1547.006, T1547.007, T1547.011, T1548, T1548.001, T1548.003, T1548.004, T1552, T1552.003, T1552.005, T1552.007, T1553, T1553.001, T1553.003, T1553.004, T1553.005, T1553.006, T1555.004, T1556, T1556.002, T1557, T1557.001, T1557.002, T1559, T1559.002, T1562, T1562.001, T1562.002, T1562.003, T1562.004, T1562.006, T1562.009, T1563, T1563.001, T1563.002, T1564.002, T1564.003, T1564.006, T1564.008, T1564.009, T1565, T1565.003, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.001, T1574.006, T1574.007, T1574.008, T1574.009, T1574.012, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1609, T1610, T1611, T1612, T1613","TS-1.1 TS-2.3",,,PR.PT-P2,,,,CM-7,CM-7,CM-7,CM-7,CM-7,,CM-7,CM-7,CM-7,,,CM-7,CM-7,CM-7,,CM-7,CM-7,CM-7,,,CM-7,3.4.6,"3.4.2.a 3.4.6.a 3.4.6.b 3.4.6.d","3.4.6[a] 3.4.6[b]","A.03.04.06.a A.03.04.06.b[01] A.03.04.06.b[02] A.03.04.06.b[03] A.03.04.06.b[04] A.03.04.06.b[05] A.03.04.06.c A.03.04.06.d[01] A.03.04.06.d[02] A.03.04.06.d[03] A.03.04.06.d[04] A.03.04.06.d[05] A.03.04.06.ODP[01] A.03.04.06.ODP[02] A.03.04.06.ODP[03] A.03.04.06.ODP[04] A.03.04.06.ODP[05] A.03.04.06.ODP[06] A.03.04.06.ODP[07] A.03.04.06.ODP[08] A.03.04.06.ODP[09] A.03.04.06.ODP[10]",,,PR.PT-3,,A05:2021,"1.1.5 1.2.1 2.2.2 2.2.4 2.2.5","1.2.6 1.4 1.4.1 1.4.2 2.2.4",,"1.4.1 1.4.2 2.2.4",,,2.2.4,2.2.4,"1.4.1 1.4.2 2.2.4","1.4.1 1.4.2 2.2.4",,M.2.3,2.10,,,,,"ARCHITECTURE-2.E.MIL2 ARCHITECTURE-3.D.MIL2","TM:SG2.SP1 TM:SG2.SP2",,5.7.1.1,,CM.L2-3.4.6,CM.L2-3.4.6,AC.L1-b.1.ii,CM.L2-3.4.6,CM.L2-3.4.6,CM-7,,,,52.204-21(b)(1)(ii),,,,CM-7 ,CM-7 ,CM-7 ,CM-7 ,CM-7 ,CM-7,CM-7,CM-7,CM-7,CM-7,,"D3.PC.Am.B.7 D3.PC.Am.B.4 D3.PC.Am.B.3 D4.RM.Om.Int.1",,,,,"1.S.A 6.S.A 6.S.B",1.M.A,1.M.A,CM-7,,,,1.2,6.3,,,,5.3,CM-7 ,CM-7 ,CM-7 ,,,,,,,,,,"17.03(2)(a) 17.03(2)(g)",,,,,,,,CM-7,CM-7,CM-7,,,,,,,,,,,,,,,,,,,,,,,"4.8 4.9 12.9 12.13",,,,,,,,,,,,,,,2-5-3-5,"2-2-1-5 2-3-1-4",,,,,,,,,,B4.b,,,,,,,,,,"1487 1488 1489 0385 1479 1006 1311 1312",,,,,,,,,,,"9.4.1 9.4.1.8.PB",,,"18.1.15.C.01 18.1.15.C.02 18.1.15.C.03 18.1.15.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Periodic Review,CFG-03.1,"Mechanisms exist to periodically review system configurations to identify and disable unnecessary and/or non-secure functions, ports, protocols and services.",- NNT Change Tracker (https://www.newnettechnologies.com),,"Does the organization periodically review system configurations to identify and disable unnecessary and/or non-secure functions, ports, protocols and services?",8,Detect,,X,X,"There is no evidence of a capability to periodically review system configurations to identify and disable unnecessary and/ or non-secure functions, ports, protocols and services.","Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • Cybersecurity personnel perform an annual review of existing configurations to ensure security objectives are still being met. ","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Cybersecurity personnel perform an annual review of existing configurations to ensure security objectives are still being accomplished, or up on the release of a new application or service that requires additional configuration settings.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,"AIS-02 IVS-03 IVS-04",,,,,,,,,"9.2.5 9.2.6 12.6.1 14.2.5","5.18 8.8 8.27","9.2.5 9.2.6 12.6.1 14.2.5",,"6.6.2.5 6.6.2.6",,,,,,,,,,,,CM-7(1),,CM-7(1),CM-7(1),CM-7(1),,,CM-7(1),CM-7(1),,,,CM-7(1),CM-7(1),,CM-7(1),,,,CM-7(1),CM-7(1),3.4.7,3.4.6.c,"3.4.7[a] 3.4.7[b] 3.4.7[c] 3.4.7[d] 3.4.7[e] 3.4.7[f] 3.4.7[g] 3.4.7[h] 3.4.7[i] 3.4.7[j] 3.4.7[k] 3.4.7[l] 3.4.7[m] 3.4.7[n] 3.4.7[o]",,,,,,,,1.2.7,,1.2.7,,,,,1.2.7,1.2.7,,N.2.2,2.2,,,,,,,,,,CM.L2-3.4.7,CM.L2-3.4.7,,CM.L2-3.4.7,CM.L2-3.4.7,CM-7(1),,,,,,,,CM-7(1) ,,CM-7(1) ,CM-7(1) ,,CM-7(1),,CM-7(1),CM-7(1),,,,,,,,,,,CM-7(1),,,,,,,,,,,,CM-7(1) ,,,,,,,,,,,,,,,,,,,,CM-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B4.b,,,,,,,,,,,,,,,,,,,,,"9.2.5 9.2.6 12.6.1 12.6.1.18.PB 14.2.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Prevent Unauthorized Software Execution,CFG-03.2,Mechanisms exist to configure systems to prevent the execution of unauthorized software programs. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization configure systems to prevent the execution of unauthorized software programs? ,7,Protect,,,X,There is no evidence of a capability to configure systems to prevent the execution of unauthorized software programs. ,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • Terms of employment and rules of behavior address the requirement for users to comply with applicable software usage requirements and copyright laws.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software. • An “acceptable use policy”, or similar control, addresses the requirement for users to comply with applicable software usage requirements and copyright laws.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Administrative processes exist to prevent unauthorized access by limiting and reviewing developer permissions to change hardware, software and firmware components within a production/operational environment.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,UEM-02,,,,,,,,,,,,,,,,,,,,,,,,,CM-7(2),,CM-7(2),CM-7(2),CM-7(2),,,CM-7(2),CM-7(2),,,,CM-7(2),CM-7(2),,,,,,,,3.4.7,"3.4.8.a 3.4.8.b 3.4.8.c",,,,,,,,,,,,,,,,,,,M.1.37,,,,,,,,,,,CM.L2-3.4.7,,,CM.L2-3.4.7,CM.L2-3.4.7,CM-7(2),,,,,,,,CM-7(2) ,,CM-7(2) ,CM-7(2) ,,CM-7(2),,CM-7(2),CM-7(2),,,,,,,,,,,,,,,,,,,,,,,CM-7(2) ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-1-11,,,,,,,,,,B4.b,,,,,Principle 1.1,"Principle 1.1 Principle 1.2","Principle 1.1 Principle 1.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.19 4.20",,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Unauthorized or Authorized Software (Blacklisting or Whitelisting),CFG-03.3,Mechanisms exist to whitelist or blacklist applications in an order to limit what is authorized to execute on systems.,"- Microsoft Windows Defender Application Control (WDAC) (replaced AppLocker) - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization whitelist or blacklist applications in an order to limit what is authorized to execute on systems?,5,Protect,,X,X,There is no evidence of a capability to whitelist or blacklist applications in an order to limit what is authorized to execute on systems.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • Terms of employment and rules of behavior address the requirement for users to comply with applicable software usage requirements and copyright laws.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Software Asset Management (SWAM) solution is used to provide oversight of unmanaged or unauthorized software executables that are on a network.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"2.3 2.5 2.6 2.7",2.3,"2.3 2.5 2.6","2.3 2.5 2.6 2.7",,,UEM-02,CLS-02,,,,,,,,,,,,,,,,,,,,,,,,"CM-7(4) CM-7(5) SC-18(4)",,CM-7(4),CM-7(5),"CM-7(4) CM-7(5) SC-18(4)",,,CM-7(5),CM-7(5),"CM-7(4) SC-18(4)",,,CM-7(5),CM-7(5),,"CM-7(4) CM-7(5)",,,,CM-7(4),"CM-7(4) CM-7(5)",3.4.8,"3.4.8.a 3.4.8.b 3.4.8.c 3.13.13.a 3.13.13.b","3.4.8[a] 3.4.8[b] 3.4.8[c]","A.03.04.08.a A.03.04.08.b A.03.04.08.c[01] A.03.04.08.c[02]",,,,,,,,,,,,,,,,,M.1.45,,,8.5,,,ARCHITECTURE-3.M.MIL3,,,,,CM.L2-3.4.8,CM.L2-3.4.8,,CM.L2-3.4.8,CM.L2-3.4.8,CM-7(4),,,,,,,,CM-7(5),,CM-7(5),CM-7(5),,CM-7(5),,CM-7(5),CM-7(5),,,,,,,,,9.M.B,"9.M.B 2.L.E",CM-7(5),,,,,,,,,,,,CM-7(5),,,,,,,,,,,,,,,,,,,,CM-7(5),,,,,,,,,,,,,,,,,,,AM-02,,,,6.7,,,,,,,,,,,,2-3-1-1,,,,2-3-1-6,,,,,,,,,,,,4,,,,Principle 1.3,"Principle 1.3 Principle 1.4 Principle 1.6",,,,,,,,,,,,,,,,,"14.2.4.C.01 14.2.5.C.01 14.2.5.C.02 14.2.5.C.03 14.2.5.C.04 14.2.6.C.01 14.2.7.C.01 14.2.7.C.02 14.2.7.C.03 14.2.7.C.04 14.2.7.C.05 14.2.7.C.06 14.2.7.C.07",,,,,11.3.6,,,,,,,,"4.19 4.20",,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Split Tunneling,CFG-03.4,Mechanisms exist to prevent split tunneling for remote devices unless the split tunnel is securely provisioned using organization-defined safeguards.,,,"Does the organization prevent split tunneling for remote devices unless the split tunnel is securely provisioned using organization-defined safeguards? Prevent split tunneling for remote devices unless the split tunnel is securely provisioned using organization-defined safeguards?",8,Protect,,,X,There is no evidence of a capability to prevent split tunneling for remote devices unless the split tunnel is securely provisioned using organization-defined safeguards.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,"TS-1.15 TS-2.5",,,,,,,SC-7(7),,SC-7(7),SC-7(7),SC-7(7),,,SC-7(7),SC-7(7),,,,SC-7(7),SC-7(7),,CM-7(7),,,,,CM-7(7),3.13.7,,3.13.7,,,,,,,,1.5.1,,1.5.1,,,,1.5.1,1.5.1,1.5.1,,N.4.3,,,,,,,,,,,SC.L2-3.13.7,SC.L2-3.13.7,,SC.L2-3.13.7,SC.L2-3.13.7,SC-7(7),,,,,,,,SC-7(7) ,,SC-7(7) ,SC-7(7) ,,SC-7(7),,SC-7(7),SC-7(7),,,,,,,,,,,SC-7(7),,,,,,,,,,,SC-7(7) ,SC-7(7) ,,,,,,,,,,,,,,,,,,,,SC-7(7),,,,,,,,,,,,,,,,,,,,,,,"4.15 9.13",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0705,,,,,,,,,,,,,,"18.7.14.C.01 18.7.14.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-4 R-AM-1 R-AM-3 R-BC-2 R-BC-4 R-EX-7 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,R-EX-7,,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- wordsmithed control Configuration Management,Software Usage Restrictions ,CFG-04,Mechanisms exist to enforce software usage restrictions to comply with applicable contract agreements and copyright laws.,,,Does the organization enforce software usage restrictions to comply with applicable contract agreements and copyright laws?,9,Protect,,X,X,There is no evidence of a capability to enforce software usage restrictions to comply with applicable contract agreements and copyright laws.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • Terms of employment and rules of behavior address the requirement for users to comply with applicable software usage requirements and copyright laws.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,UEM-03,,,,,,,,,,,,,,,,,"T1546.008, T1546.013, T1550.001, T1553, T1553.004, T1559, T1559.002, T1562.006, T1562.009",,,,,,,,CM-10,CM-10,CM-10,CM-10,CM-10,,CM-10,CM-10,CM-10,,,CM-10,CM-10,CM-10,,CM-10,CM-10,,,CM-10,CM-10,,"3.13.13.a 3.13.13.b",,,,,,,,,,,,,,,,,,,M.1.49,,,,,,,"COMP:SG2.SP1 COMP:SG2.SP2 COMP:SG3.SP1",,,,,,,,,CM-10,,,,,,,,CM-10 ,CM-10 ,CM-10 ,CM-10 ,CM-10 ,CM-10,CM-10,CM-10,CM-10,CM-10,,,,,,,,,,CM-10,,,,,,,,,,,CM-10 ,CM-10 ,,,,,,,,,,,,,,,,,,CM-10,CM-10,CM-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Open Source Software,CFG-04.1,Mechanisms exist to establish parameters for the secure use of open source software. ,- Acceptable Use Policy (AUP),,Does the organization establish parameters for the secure use of open source software? ,9,Protect,,X,X,There is no evidence of a capability to establish parameters for the secure use of open source software. ,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • Terms of employment and rules of behavior address the requirement for users to comply with applicable software usage requirements and copyright laws.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-10(1),,,,CM-10(1),,,,,CM-10(1),,,,,,CM-10(1),,,,CM-10(1),CM-10(1),,"3.13.13.a 3.13.13.b",,,,,,,,,,,,,,,,,,,M.1.47,,,,,,,,,,,,,,,,CM-10(1),,,,,,,,CM-10(1),,CM-10(1),CM-10(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-10(1),,,,,,,,,,,,,,,,,,,,CM-10(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.1.3,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Unsupported Internet Browsers & Email Clients ,CFG-04.2,Mechanisms exist to allow only approved Internet browsers and email clients to run on systems.,,,Does the organization allow only approved Internet browsers and email clients to run on systems?,7,Protect,,X,X,There is no evidence of a capability to allow only approved Internet browsers and email clients to run on systems.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.7,,,"9.0 9.1 9.4",9.1,"9.1 9.4","9.1 9.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.49,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.S.A,1.M.A,1.M.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-4-1 2-5-3-3",,,,,,,,,,,,,,,,,,,,,"0824 1412 1485 1486 1542 1470 1235 1601 1585 1654 1655",,,,,,,,,,,,,,,,,,,,,,,,,,,"4.6 4.9",,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,User-Installed Software,CFG-05,Mechanisms exist to restrict the ability of non-privileged users to install unauthorized software.,- Privileged Account Management (PAM),,Does the organization restrict the ability of non-privileged users to install unauthorized software?,10,Protect,X,X,X,There is no evidence of a capability to restrict the ability of non-privileged users to install unauthorized software.,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • Terms of employment and rules of behavior address the requirement for users to comply with applicable software usage requirements and copyright laws.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,CC6.8-POF1,,,,,,,,,,,,,,,,,,,,,,,,,"T1021.005, T1059, T1059.006, T1176, T1195, T1195.001, T1195.002, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1505, T1505.001, T1505.002, T1505.004, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1547.013, T1550.001, T1564.009, T1569, T1569.001",,,,,,,,CM-11,CM-11,CM-11,CM-11,"CM-11 CM-11(2)",,CM-11,CM-11,CM-11,CM-11(2),,CM-11,CM-11,CM-11,,CM-11,CM-11,,,CM-11,CM-11,3.4.9,3.13.13.b,"3.4.9[b] 3.4.9[c]",,,,,PR.PS-05,,,,,,,,,,,,,M.1.31,,,,,,,"AM:SG1.SP1 COMP:SG3.SP2 MON:SG2.SP3",,,,CM.L2-3.4.9,CM.L2-3.4.9,,CM.L2-3.4.9,CM.L2-3.4.9,CM-11,,,,,,,,CM-11 ,CM-11 ,CM-11 ,CM-11 ,CM-11 ,CM-11,CM-11,CM-11,CM-11,CM-11,,,,,,,,2.M.A,2.M.A,CM-11,,,,,,,,,,CM-11 ,CM-11 ,CM-11 ,,,,,,,,,,,,,,,,,,CM-11,CM-11,CM-11,,,,,,,,,,,,,,,,,,,,,,,6.3,,,,,,,,,,,,,,,,,,,,,,,,,,B4.b,,3,,,,,,,,"1592 0382 1655",,,,,,,,,,,,,,,,,,,,,,,,,,,"4.19 4.20",,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Unauthorized Installation Alerts,CFG-05.1,Mechanisms exist to configure systems to generate an alert when the unauthorized installation of software is detected. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization configure systems to generate an alert when the unauthorized installation of software is detected? ,8,Detect,,,X,There is no evidence of a capability to configure systems to generate an alert when the unauthorized installation of software is detected. ,"Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,CC6.8-POF2,,2.3,2.3,2.3,2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-11(1),,,,"CM-8(3) CM-11(3)",,,CM-8(3),CM-8(3),CM-11(3),,,CM-8(3),CM-8(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,N.19,,,,,,,,,,,,,,,,,,,,,,,,CM-11(1),,,CM-11(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.D.2.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-1-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.19 4.20",,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-3 R-BC-2 R-BC-4 R-EX-7 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,R-EX-7,,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Restrict Roles Permitted To Install Software,CFG-05.2,"Mechanisms exist to configure systems to prevent the installation of software, unless the action is performed by a privileged user or service.",,,"Does the organization configure systems to prevent the installation of software, unless the action is performed by a privileged user or service?",9,Protect,,,X,"There is no evidence of a capability to configure systems to prevent the installation of software, unless the action is performed by a privileged user or service.","Configuration Management (CFG) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments. • Secure configurations are not: o Standardized across the organization. o Consistently aligned with industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Configuration Management (CFG) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,CC6.8-POF1,,9.4,,9.4,9.4,,,IAM-09,,,,,,,,,,,,,,,,,,,,,,,,,CM-11(2),,,,CM-11(2),,,,,CM-11(2),,,,,,,,,,,,,,,,,,,PR.PS-05,,,,,,,,,,,,,M.1.14,,,,,,,,"2.1 2.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1592 0382",,,,,,,,,,,,,,,,,,,,,,,,,,,"4.19 4.20",,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Configuration Enforcement,CFG-06,"Automated mechanisms exist to monitor, enforce and report on configurations for endpoint devices.",,,"Does the organization use automated mechanisms to monitor, enforce and report on configurations for endpoint devices?",7,Protect,,X,X,"There is no evidence of a capability to monitor, enforce and report on configurations for endpoint devices.","SP-CMM1 is N/A, since a structured process is required to monitor, enforce and report on configurations for endpoint devices.","SP-CMM2 is N/A, since a well-defined process is required to monitor, enforce and report on configurations for endpoint devices.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Unauthorized configuration changes are immediately reverted to approved configurations. • Configuration monitoring software monitors, reports on and enforces configurations for endpoint devices. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices the management of user, group and system accounts, including privileged accounts. • ITAM leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A formal Change Management (CM) program ensures that no unauthorized changes are made, all changes are documented, services are not disrupted and that resources are used efficiently.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor, enforce and report on configurations for endpoint devices.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor, enforce and report on configurations for endpoint devices.",,,,,,,,,,,CCM-03,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CM-3(8) CM-11(3)",,,,,"CM-3(8) CM-11(3)",,,,,,CM-3(8),,,,CM-3(8),CM-3(8),,"3.4.2.a 3.4.3.a 3.4.3.b 3.4.3.c 3.4.3.d",,"A.03.04.03.d[01] A.03.04.03.d[02]",,,,,,,,,,,,,,,,,M.1.43,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0843 1490 0955 1582 1471 1392 1544 0846",,,,,,,,,,,,,,,,,,,,,,,,,,,"4.19 4.20",,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Configuration Management,Zero-Touch Provisioning (ZTP),CFG-07,"Mechanisms exist to implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices upon being added to a network.",,,"Does the organization implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices upon being added to a network?",8,Protect,,,X,"There is no evidence of a capability to implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices up on being added to a network.","SP-CMM1 is N/A, since a structured process is required to implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices up on being added to a network.","SP-CMM2 is N/A, since a well-defined process is required to implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices up on being added to a network.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Zero-Touch Provisioning (ZTP), or similar technology, is used to automatically and securely configure devices up on being added to a network.","Configuration Management (CFG) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement Zero-Touch Provisioning (ZTP), or similar technology, to automatically and securely configure devices up on being added to a network.",,,,,,,,,,,IAM-07,,,"EDR 3.13 (13.8.1(b)) HDR 3.13 (14.8.1(b)) NDR 3.13 (15.10.1(b))",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Configuration Management,Sensitive / Regulated Data Access Enforcement,CFG-08,"Mechanisms exist to configure systems, applications and processes to restrict access to sensitive/regulated data.",,E-DCH-08,"Does the organization configure systems, applications and processes to restrict access to sensitive/regulated data?",7,Protect,,X,X,"There is no evidence of a capability to configure systems, applications and processes to restrict access to sensitive/regulated data.","SP-CMM1 is N/A, since a structured process is required to configure systems, applications and processes to restrict access to sensitive/regulated data.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure systems, applications and processes to restrict access to sensitive/regulated data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure systems, applications and processes to restrict access to sensitive/regulated data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(11),,,,,AC-3(11),,,,AC-3(11),,,,,,,,,3.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(11),,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(11),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1733,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for AC-3(11) Configuration Management,Sensitive / Regulated Data Actions,CFG-08.1,"Automated mechanisms exist to generate event logs whenever sensitive/regulated data is collected, created, updated, deleted and/or archived.",,,"Does the organization use automated mechanisms to generate event logs whenever sensitive/regulated data is collected, created, updated, deleted and/or archived?",7,Protect,,,X,"There is no evidence of a capability to generate event logs whenever sensitive/regulated data is collected, created, updated, deleted and/ or archived.","SP-CMM1 is N/A, since a structured process is required to generate event logs whenever sensitive/regulated data is collected, created, updated, deleted and/ or archived.","Configuration Management (CFG) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for configuration management. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • Apart from workstation and server operating system baselines, configuration management is decentralized. • Cybersecurity personnel use a structured process to design, build and maintain secure configurations for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and the business process owner acceptance of the risk(s) associated with the deviation. • Unauthorized configuration changes are investigated to determine if the unauthorized configuration is malicious in nature. • Logical Access Control (LAC) is enforced to prohibit non-administrative users from being able to install unauthorized software.","Configuration Management (CFG) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The configuration management function is formally assigned with defined roles and responsibilities. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Deviations to baseline configurations are required to have a risk assessment and business process owner approval of the risk(s) associated with the deviation. • Special baseline configurations are created for higher-risk environments or for systems, applications and services that store, process or transmit sensitive/regulated data. • An IT Asset Management (ITAM) function, or similar function, ensures compliance with requirements for asset management. • Logical Access Control (LAC) is used to limit the ability of non-administrators from making configuration changes to systems, applications and services, including the of installation of unauthorized software. • A Security Incident Event Manager (SIEM), or similar automated tool, monitors for unauthorized activities, accounts, connections, devices and software. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate event logs whenever sensitive/regulated data is collected, created, updated, deleted and/ or archived.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate event logs whenever sensitive/regulated data is collected, created, updated, deleted and/ or archived.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DM-2(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DM-2(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7101(a) 7101(b) 7101(c) 7101(d) 7101(e)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Continuous Monitoring,MON-01,Mechanisms exist to facilitate the implementation of enterprise-wide monitoring controls.,"- Splunk - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization facilitate the implementation of enterprise-wide monitoring controls?,10,Detect,X,X,X,There is no evidence of a capability to facilitate the implementation of enterprise-wide monitoring controls.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for continuous monitoring (e.g., event log collection and analysis) practices, within the broader scope of cybersecurity and data protection operations. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization for security monitoring. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls for continuous security monitoring. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including continuous monitoring. • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • A Security Operations Center (SOC), or similar function, enables incident management operations covering preparation, detection and analysis, containment, eradication and recovery. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of enterprise-wide monitoring controls.",CC7.2,CC7.2-POF1,,"8.0 8.2 8.4 13.0 13.6",8.2,"8.2 8.4 13.6","8.2 8.4 13.6","DSS01.03 DSS05.07 DSS06.05 MEA01.01",,"LOG-01 LOG-07","CLS-08 MON-01 MON-03 MON-05 MON-07 SNT-03",SO21,,"CR 2.8 (6.10.1) CR 6.2 (10.4.1)","RQ-08-03 RQ-08-04",,,,12.4.1 ,"8.15 8.16","12.4.1 CLD.12.4.5",,"6.9.4 6.9.4.1",,,,"T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1008, T1011, T1011.001, T1020.001, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1025, T1027, T1027.002, T1029, T1030, T1036, T1036.001, T1036.003, T1036.005, T1036.007, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1040, T1041, T1046, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1056.002, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1078, T1078.001, T1078.002, T1078.003, T1078.004, T1080, T1087, T1087.001, T1087.002, T1090, T1090.001, T1090.002, T1091, T1092, T1095, T1098, T1098.001, T1098.002, T1098.003, T1098.004, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1106, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.001, T1114.002, T1114.003, T1119, T1127, T1127.001, T1129, T1132, T1132.001, T1132.002, T1133, T1135, T1136, T1136.001, T1136.002, T1136.003, T1137, T1137.001, T1176, T1185, T1187, T1189, T1190, T1197, T1201, T1203, T1204, T1204.001, T1204.002, T1204.003, T1205, T1205.001, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.010, T1218.011, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1222, T1222.001, T1222.002, T1484, T1485, T1486, T1489, T1490, T1491, T1491.001, T1491.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1505, T1505.002, T1505.003, T1505.004, T1525, T1528, T1530, T1537, T1539, T1542.004, T1542.005, T1543, T1543.002, T1546.002, T1546.003, T1546.004, T1546.006, T1546.008, T1546.013, T1546.014, T1547.002, T1547.003, T1547.004, T1547.005, T1547.006, T1547.007, T1547.008, T1547.009, T1547.011, T1547.012, T1547.013, T1548, T1548.001, T1548.002, T1548.003, T1548.004, T1550.001, T1550.003, T1552, T1552.001, T1552.002, T1552.003, T1552.004, T1552.005, T1552.006, T1553, T1553.001, T1553.003, T1553.004, T1553.005, T1555, T1555.001, T1555.002, T1555.004, T1555.005, T1556, T1556.001, T1556.002, T1556.003, T1556.004, T1557, T1557.001, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1559, T1559.002, T1560, T1560.001, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.003, T1562.004, T1562.006, T1562.010, T1563, T1563.001, T1563.002, T1564.002, T1564.004, T1564.006, T1564.007, T1564.008, T1564.009, T1565, T1565.001, T1565.002, T1565.003, T1566, T1566.001, T1566.002, T1566.003, T1567, T1568, T1568.002, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.001, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1578, T1578.001, T1578.002, T1578.003, T1598, T1598.001, T1598.002, T1598.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1610, T1611, T1612, T1613",,"Sec 4(D)(2)(h) Sec 4(D)(2)(i)",,CT.DM-P8,,"P-7 S-5",,"AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 PM-31 SI-4","AU-1 PM-31","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4",,,"AU-1 SI-4","AU-1 SI-4","AU-1 SI-4",,"AU-1 PM-31 SI-4","AU-1 SI-4",SI-4,"AU-1 PM-31 SI-4","AU-1 PM-31 SI-4","AU-1 PM-31 SI-4",NFO - AU-1,"3.3.1.a 3.3.1.b 3.12.3",,"A.03.03.05.a A.03.12.03[01] A.03.12.03[02] A.03.12.03[03] A.03.14.06.a.01",,,"DE.CM-1 DE.DP-1 DE.DP-2 PR.PT-1","DE.CM DE.CM-01 DE.CM-03 DE.AE","A01:2021 A07:2021 A09:2021","10.1 10.6 10.6.1 10.6.2 10.6.3 10.8 10.8.1","10.1 10.4.3 10.7 10.7.1 10.7.2 10.7.3 A3.3.1",,10.4.3,,,10.4.3,,"10.4.3 10.7.2 10.7.3","10.4.3 10.7.1 10.7.2 10.7.3",,J.3.3,6.4,5.2.4,,,,"SITUATION-1.A.MIL1 SITUATION-3.G.MIL3","COMP:SG1.SP2 MON:SG1.SP3 COMP:SG2.SP1 MON:SG2.SP3 MON:SG2.SP4",8.2,"5.4 5.4.3",,,,,,,"AU-1 SI-4",,,,,,,"§ 11.10 § 11.10(e)","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4",,"D3.DC.An.B.2 D3.DC.An.B.3 D1.G.SP.B.3 D2.MA.Ma.B.1 D2.MA.Ma.B.2 D3.DC.Ev.B.4 D1.G.Ov.E.2",,,,164.312(b),,6.M.C,"6.M.C 6.L.B 8.L.E 9.L.B","AU-1 SI-4",,"CIP-007-6 R4",8-602,3.1,,,,,"5.4 5.6","AU-1 SI-4","AU-1 SI-4","AU-1 SI-4","III.D III.D.3.a III.D.3.b",,,,,,,,,,,500.06,Sec 4(2)(b)(ii)(C)(2),,"38-99-20(D)(2)(h) 38-99-20(D)(2)(i)",,,"AU-1 SI-4","AU-1 SI-4","AU-1 SI-4",,,"§ 2447(b)(2)(C) § 2447(b)(8) § 2447(b)(8)(A)","3.4.5(39) 3.4.5(40) 3.5(52)",,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,"5.5 6.3 6.7",OPS-10,,,,"4.6 6.8 9.10 11.11 12.31 13.9 21.1",,,,,,,,,,,,2-11,"TPC-40 TPC-80",3.3.14,"2-3-4 2-12-1 2-12-2 2-12-3 2-12-4 5-1-3-3","2-11 2-11-1 2-11-2",,,"Sec 19.1 Sec 19.2",,7.3.8 [OP.EXP.8],,,,,"B2.d C1.a C1.e C2.a",C1,,,,,,,,,"0120 1163 0580 0109 1586 1294 0660",,,,,,,,,,,"12.4.1 12.4.1.15.PB 12.4.5.P",,,"16.6.6.C.01 16.6.6.C.02 16.6.8.C.01 16.6.10.C.01 16.6.10.C.02",,,,,"12.2.1 12.2.2 12.2.3",,,,,,6.21,,3.5,"3.3 3.3.1",,,,,,,,,,,x,NAIC,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Continuous Monitoring,Intrusion Detection & Prevention Systems (IDS & IPS),MON-01.1,"Mechanisms exist to implement Intrusion Detection / Prevention Systems (IDS / IPS) technologies on critical systems, key network segments and network choke points.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization implement Intrusion Detection / Prevention Systems (IDS / IPS) technologies on critical systems, key network segments and network choke points?",9,Detect,,,X,"There is no evidence of a capability to implement Intrusion Detection / Prevention Systems (IDS / IPS) technologies on critical systems, key network segments and network choke points.","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement Intrusion Detection / Prevention Systems (IDS / IPS) technologies on critical systems, key network segments and network choke points.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement Intrusion Detection / Prevention Systems (IDS / IPS) technologies on critical systems, key network segments and network choke points.",CC7.2,"CC7.2-POF2 CC7.2-POF3",,,,,,DSS05.07,,,OPA-04,,,NDR 3.2 (15.6.1),,,,,,8.16,,,,,,,,TS-2.7,Sec 4(D)(2)(h),,,,,,SI-4(1),,,,"SI-4(1) SI-4(25)",,,,,"SI-4(1) SI-4(25)",,,,,,,,,,,,,,,,,,,,"A01:2021 A07:2021 A09:2021",,"1.4.3 11.5 11.5.1 11.5.1.1",,"1.4.3 11.5.1",,1.4.3,,,"1.4.3 11.5.1","1.4.3 11.5.1 11.5.1.1",,N.6,6.5A,,,,,,,,5.10.1.3,,,,,,,SI-4(1),,,,,,,,SI-4(1) ,,SI-4(1) ,SI-4(1) ,,SI-4(1),,SI-4(1),SI-4(1),,,,,,,,6.S.C,6.M.C,"6.M.C 1.L.A",SI-4(1),,,,,,,,,5.6,,,SI-4(1) ,,,,,,,,,,,,,,,38-99-20(D)(2)(h),,,,,SI-4(1),,,,,,,,,,,,,,,,,,,,,,,"7.4 11.11 12.18 23.6",,,,,,,,,,,,,,,2-5-3-6,,,,,,7.6.1 [OP.MON.1],,,,,"C1.a C1.c",,,,,,,,,,0576,,,,,,,,,,,,,,"16.6.10.C.01 16.6.10.C.02 18.4.7.C.01 18.4.7.C.02 18.4.7.C.03 18.4.8.C.01 18.4.8.C.02 18.4.8.C.03 18.4.9.C.01 18.4.9.C.02 18.4.10.C.01 18.4.11.C.01 18.4.11.C.02 18.4.11.C.03 18.4.12.C.01 18.4.14.C.01",,,,,,,,,,,,,"3.3 4.3 4.4",,,,,,,,,,,,x,NAIC,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Automated Tools for Real-Time Analysis ,MON-01.2,"Mechanisms exist to utilize a Security Incident Event Manager (SIEM), or similar automated tool, to support near real-time analysis and incident escalation. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)","E-MON-01 E-MON-05","Does the organization utilize a Security Incident Event Manager (SIEM), or similar automated tool, to support near real-time analysis and incident escalation? ",9,Detect,,,X,"There is no evidence of a capability to utilize a Security Incident Event Manager (SIEM), or similar automated tool, to support near real-time analysis and incident escalation. ","SP-CMM1 is N/A, since a structured process is required to utilize a Security Incident Event Manager (SIEM), or similar automated tool, to support near real-time analysis and incident escalation. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • A Security Operations Center (SOC), or similar function, enables cybersecurity operations covering preparation, detection and analysis, containment, eradication and recovery.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize a Security Incident Event Manager (SIEM), or similar automated tool, to support near real-time analysis and incident escalation. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a Security Incident Event Manager (SIEM), or similar automated tool, to support near real-time analysis and incident escalation. ",CC7.2,,,,,,,DSS06.05,,LOG-03,"MON-03 OPA-04",,,,,,,,,8.16,,,,,,,,,,,,,,,SI-4(2),,SI-4(2),SI-4(2),"SI-4(2) SC-48",,,SI-4(2),SI-4(2),SC-48,,,SI-4(2),SI-4(2),,,,,,,,,,,,,,,,"A01:2021 A07:2021 A09:2021","10.6 10.6.1 10.6.2 10.6.3","10.4 10.4.1 10.4.1.1",,"10.4.1 10.4.1.1",,,"10.4.1 10.4.1.1",,"10.4.1 10.4.1.1","10.4.1 10.4.1.1",,J.3.2,,,,,,,,,5.4.1,,,,,,,SI-4(2),,,,,,,,SI-4(2) ,,SI-4(2) ,SI-4(2) ,,SI-4(2),,SI-4(2),SI-4(2),,,,,,,,,,,SI-4(2),,,,,,,,,5.6,,,SI-4(2) ,,,,,,,,,,,,,,,,,,,,SI-4(2),,,,"3.4.5(39) 3.4.5(40)",,,,,,,,,,,,,,,OPS-13,,,,"11.11 12.31",,,,,,,,,,,,"2-11-1-3 2-11-1-4",,3.3.14,"2-12-3-3 5-1-3-3",,,,,,,,,,,"C1.a C1.c",,,,,,,Principle 5.17,,,,,,,,,,,,,,12.4.5.P,,,,,,,,,,,,,,,,3.4,,,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Inbound & Outbound Communications Traffic ,MON-01.3,Mechanisms exist to continuously monitor inbound and outbound communications traffic for unusual or unauthorized activities or conditions.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization continuously monitor inbound and outbound communications traffic for unusual or unauthorized activities or conditions?,9,Detect,,X,X,There is no evidence of a capability to continuously monitor inbound and outbound communications traffic for unusual or unauthorized activities or conditions.,"SP-CMM1 is N/A, since a structured process is required to continuously monitor inbound and outbound communications traffic for unusual or unauthorized activities or conditions.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • A Security Operations Center (SOC), or similar function, enables cybersecurity operations covering preparation, detection and analysis, containment, eradication and recovery.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to continuously monitor inbound and outbound communications traffic for unusual or unauthorized activities or conditions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to continuously monitor inbound and outbound communications traffic for unusual or unauthorized activities or conditions.",CC7.2,,,,,,,,,,OPA-04,,,,,,,,,8.16,,,,,,,,,,,,,,,SI-4(4),,SI-4(4),SI-4(4),SI-4(4),,,SI-4(4),SI-4(4),,,,SI-4(4),SI-4(4),,,,,,,,3.14.6,3.14.6.c,"3.14.6[a] 3.14.6[b] 3.14.6[c]",,3.14.2e,,DE.AE-1,"DE.CM-01 DE.CM-03 DE.CM-06","A01:2021 A07:2021 A09:2021",,,,,,,,,,,,J.7,,,,,,,,,5.4.1,,SI.L2-3.14.6,"SI.L2-3.14.6 TBD - 3.14.2e",,SI.L2-3.14.6,SI.L2-3.14.6,SI-4(4),,,,,,,,SI-4(4) ,,SI-4(4) ,SI-4(4) ,,SI-4(4),,SI-4(4),SI-4(4),,,,,,,,,,,SI-4(4),,,,,,,,,,,,SI-4(4) ,III.D.2.b,,,,,,,,,,,,,,,,,,,SI-4(4),,,,,,,,,,,,,,,,,,,,,,,"9.9 9.10 10.9",,,,,,,,,,,,,TPC-40,,,,,,,,,,,,,"C1.a C1.c C2.a",,,,,,,,,,,,,,,,,,,,,,,,"16.6.10.C.01 16.6.10.C.02 18.4.8.C.01 18.4.8.C.02 18.4.8.C.03",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,System Generated Alerts ,MON-01.4,"Mechanisms exist to monitor, correlate and respond to alerts from physical, cybersecurity, data privacy and supply chain activities to achieve integrated situational awareness. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization monitor, correlate and respond to alerts from physical, cybersecurity, data privacy and supply chain activities to achieve integrated situational awareness? ",7,Detect,,,X,"There is no evidence of a capability to monitor, correlate and respond to alerts from physical, cybersecurity, data privacy and supply chain activities to achieve integrated situational awareness. ","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor, correlate and respond to alerts from physical, cybersecurity, data privacy and supply chain activities to achieve integrated situational awareness. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor, correlate and respond to alerts from physical, cybersecurity, data privacy and supply chain activities to achieve integrated situational awareness. ",CC7.2,,,8.4,,8.4,8.4,DSS06.05,,LOG-03,"CLS-08 MON-03",,,CR 2.8 (6.10.1),,,,,12.4.1 ,8.15,12.4.1 ,,,,,,,,,,,,,,SI-4(5),,SI-4(5),SI-4(5),SI-4(5),,,SI-4(5),SI-4(5),,,,SI-4(5),SI-4(5),,,,,,,,NFO - SI-4(5),"3.3.1.a 3.14.6.a 3.14.6.a.1 3.14.6.a.2 3.14.6.b 3.14.6.c",,"A.03.03.01.ODP[01] A.03.03.02.a.01 A.03.03.02.a.02 A.03.03.02.a.03 A.03.03.02.a.04 A.03.03.02.a.05 A.03.03.02.a.06 A.03.03.02.b.07 A.03.03.03.a",,,,"PR.PS-04 DE.CM-02 DE.CM-03 DE.CM-09","A01:2021 A07:2021 A09:2021",,"10.2 10.4 10.4.1 10.4.1.1 10.4.3",,"10.4.1 10.4.1.1 10.4.3",,,"10.4.1 10.4.1.1 10.4.3",,"10.4.1 10.4.1.1 10.4.3","10.4.1 10.4.1.1 10.4.3",,J.2.10,,5.2.4,,,,"SITUATION-1.A.MIL1 SITUATION-1.B.MIL2 SITUATION-1.C.MIL2 SITUATION-1.D.MIL2 SITUATION-1.F.MIL3",,,"5.4.1 5.4.1.1 5.4.1.1.1",,,,,,,SI-4(5),,,,,,,,SI-4(5) ,,SI-4(5) ,SI-4(5) ,,SI-4(5),,SI-4(5),SI-4(5),,,,,,,164.312(b),,,,SI-4(5),,,,,,,,,"5.4 5.6",,,SI-4(5) ,III.D.3.a,,,,,,,,,,,,,,,,,,,SI-4(5),,,,,,,,,,,,,,,,,,,OPS-13,,,,"21.2 21.4",,,,,,,,,,,,2-11-1-1,"TPC-80 TPC-87",,2-12-3-1,,,,,,7.3.8 [OP.EXP.8],,,,,"B2.d C1.a C1.c",,,,,,,"Principle 1.7 Principle 7.8",,,,,,,,,,,,,,"12.4.1 12.4.1.15.PB",,,,,,,,,,,,,,,,3.6,,,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Wireless Intrusion Detection System (WIDS),MON-01.5,Mechanisms exist to utilize Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization utilize Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks? ,5,Detect,,,X,There is no evidence of a capability to utilize Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks. ,"SP-CMM1 is N/A, since a structured process is required to utilize Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks. ",CC7.2,,,,,,,,,,"MON-08 MON-10",,,,,,,,,,,,,,,,,,,,,,,,"SI-4(14) SI-4(15)",,,,"SI-4(14) SI-4(15)",,,,SI-4(14),SI-4(15),,,,SI-4(14),,,,,,,,,,,,,,,,,11.1,11.2,,,,,,,,,,N.8.5,6.5A,,,,,,,,,,,,,,,SI-4(14),,,,,,,,SI-4(14) ,,SI-4(14) ,SI-4(14) ,,SI-4(14),,,SI-4(14),,,,,,,,,6.M.C,6.M.C,,,,,,,,,,,,,SI-4(14) ,,,,,,,,,,,,,,,,,,,,SI-4(14),,,,,,,,,,,,,,,,,,,,,,,7.6,,,,,,,,,,,,,,,,,,,,,,,,,,"C1.a C1.c",,,,,,,,,,,,,,,,,,,,,,,,"16.6.10.C.01 16.6.10.C.02 18.4.8.C.01 18.4.8.C.02 18.4.8.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Host-Based Devices ,MON-01.6,"Mechanisms exist to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) to actively alert on or block unwanted activities and send logs to a Security Incident Event Manager (SIEM), or similar automated tool, to maintain situational awareness.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) to actively alert on or block unwanted activities and send logs to a Security Incident Event Manager (SIEM), or similar automated tool, to maintain situational awareness?",8,Detect,,,X,"There is no evidence of a capability to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) to actively alert on or block unwanted activities and send logs to a Security Incident Event Manager (SIEM), or similar automated tool, to maintain situational awareness.","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) to actively alert on or block unwanted activities and send logs to a Security Incident Event Manager (SIEM), or similar automated tool, to maintain situational awareness.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) to actively alert on or block unwanted activities and send logs to a Security Incident Event Manager (SIEM), or similar automated tool, to maintain situational awareness.",CC7.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(23),,,,SI-4(23),,,,,SI-4(23),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.6.2,,,,,,,,,,,,,,,,,,,,,,,,SI-4(23) ,,SI-4(23) ,SI-4(23) ,,SI-4(23),,SI-4(23),SI-4(23),,,,,,,,,,,,,,,,,,,,,,,SI-4(23) ,,,,,,,,,,,,,,,,,,,,SI-4(23),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"C1.a C1.c",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,File Integrity Monitoring (FIM),MON-01.7,"Mechanisms exist to utilize a File Integrity Monitor (FIM), or similar change-detection technology, on critical assets to generate alerts for unauthorized modifications. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization utilize a File Integrity Monitor (FIM), or similar change-detection technology, on critical assets to generate alerts for unauthorized modifications? ",9,Detect,,,X,"There is no evidence of a capability to utilize a File Integrity monitor (FIM), or similar change-detection technology, on critical assets to generate alerts for unauthorized modifications. ","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize a File Integrity monitor (FIM), or similar change-detection technology, on critical assets to generate alerts for unauthorized modifications. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a File Integrity monitor (FIM), or similar change-detection technology, on critical assets to generate alerts for unauthorized modifications. ","CC6.8 CC7.1","CC7.1-POF2 CC7.1-POF3 CC7.1-POF4",,,,,,,,,SAP-06,SO12,,"FR 3 (7.1) CR 3.4 (7.6.3(2))",,,,,,,,,,,,,"T1003, T1003.003, T1020.001, T1027, T1027.002, T1036, T1036.001, T1036.005, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1040, T1047, T1053.006, T1056.002, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1072, T1080, T1098.001, T1098.002, T1098.003, T1114, T1114.001, T1114.002, T1114.003, T1119, T1127, T1129, T1133, T1136, T1136.001, T1136.002, T1136.003, T1176, T1185, T1189, T1190, T1195.003, T1203, T1204, T1204.002, T1204.003, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.010, T1218.011, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1222, T1222.001, T1222.002, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1495, T1505, T1505.001, T1505.002, T1505.004, T1525, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.002, T1546, T1546.002, T1546.004, T1546.006, T1546.008, T1546.009, T1546.010, T1546.013, T1547.002, T1547.003, T1547.004, T1547.005, T1547.006, T1547.008, T1547.011, T1547.013, T1548, T1548.004, T1550.001, T1550.004, T1552, T1552.004, T1553, T1553.001, T1553.003, T1553.005, T1553.006, T1554, T1556, T1556.001, T1556.003, T1556.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.009, T1564.003, T1564.004, T1564.006, T1564.008, T1564.009, T1565, T1565.001, T1565.002, T1569, T1569.002, T1574, T1574.001, T1574.004, T1574.006, T1574.007, T1574.008, T1574.009, T1574.012, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1609, T1611",TS-2.6,,,PR.DS-P6,,,,,,,,SI-4(24),,,,,SI-4(24),,,,,,,,,,,,,,,,,,PR.DS-8,DE.CM-09,"A01:2021 A02:2021 A05:2021 A08:2021 A09:2021","11.5 11.5.1","10.3.4 11.5 11.5.2",,"10.3.4 11.5.2",,,"10.3.4 11.5.2",,"10.3.4 11.5.2","10.3.4 11.5.2",,1.2.5.11,6.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"164.312(c) 164.312(c)(1) 164.312(c)(2)",,,2.L.D,SI-4(24),,,8-613,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.4.4(36)(e),,,,,,,,,,,,,,,,,,,"6.4 12.19",,,,,,,,,,,,,,,,1-5-4,,,,,,,,,,"C1.a C1.c",,,,,,,,,,,,,,,,,,,,,,,,"16.6.10.C.01 16.6.10.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Reviews & Updates ,MON-01.8,Mechanisms exist to review event logs on an ongoing basis and escalate incidents in accordance with established timelines and procedures.,"- Security Incident Event Manager (SIEM) - Splunk","E-MON-01 E-MON-02 E-MON-05",Does the organization review event logs on an ongoing basis and escalate incidents in accordance with established timelines and procedures?,10,Detect,X,X,X,There is no evidence of a capability to review event logs on an ongoing basis and escalate incidents in accordance with established timelines and procedures.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to review event logs on an ongoing basis and escalate incidents in accordance with established timelines and procedures.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review event logs on an ongoing basis and escalate incidents in accordance with established timelines and procedures.",CC7.2,CC7.2-POF4,,8.1,8.1,8.1,8.1,,,LOG-03,"CLS-08 MON-04",,,,,,,,,8.16,,,,,,,,,,,,,,,AU-2(3),,,,AU-2,AU-2,AU-2,AU-2,AU-2,,,AU-2,AU-2,AU-2,,AU-2,AU-2,AU-2,AU-2,AU-2,AU-2,"3.3.3 3.14.3",,"3.3.3[a] 3.3.3[b] 3.3.3[c] 3.14.3[a] 3.14.3[b] 3.14.3[c]",A.03.03.05.a,,,PR.PT-1,DE.AE-02,"A01:2021 A07:2021 A09:2021",,"10.4 10.4.1 10.4.1.1 10.4.2 10.4.2.1 10.4.3",,"10.4.1 10.4.1.1 10.4.2 10.4.2.1 10.4.3",,,"10.4.1 10.4.1.1 10.4.2 10.4.2.1 10.4.3",,"10.4.1 10.4.1.1 10.4.2 10.4.2.1 10.4.3","10.4.1 10.4.1.1 10.4.2 10.4.2.1 10.4.3",,J.3,,5.2.4,,,,"SITUATION-2.A.MIL1 SITUATION-2.B.MIL1 SITUATION-2.C.MIL2",,,,,"AU.L2-3.3.3 SI.L2-3.14.3","AU.L2-3.3.3 SI.L2-3.14.3",,"AU.L2-3.3.3 SI.L2-3.14.3","AU.L2-3.3.3 SI.L2-3.14.3",,,,,,,,,AU-2(3) ,,AU-2(3) ,AU-2(3) ,,,,,,,,,,,,164.312(b),,,,AU-2,,,,,,,,,"5.6 5.7",,AU-2(3) ,AU-2(3) ,III.D.3.a,,,,,,,,,,,,Sec 4(2)(b)(ii)(C)(2),,,,,,,,,,,"3.4.5(39) 3.4.5(40)",,,,,,,,,,,,,,5.5,,,,,"12.31 21.3 21.11",,,,,,,,,,,,2-11-1-2,TPC-40,,2-12-3-4,,,,,,,,,,,"B2.d C1.a C1.e","C1 C2",,,,,,"Principle 1.8 Principle 3.12 Principle 4.18",,,0109,,,,,,,,,,,,,,,,,,,12.2.2,,,,,,,,3.5,"3.3.1 3.3.2",,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Proxy Logging ,MON-01.9,"Mechanisms exist to log all Internet-bound requests, in order to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization log all Internet-bound requests, in order to identify prohibited activities and assist incident handlers with identifying potentially compromised systems? ",8,Detect,,,X,"There is no evidence of a capability to log all Internet-bound requests, in order to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to log all Internet-bound requests, in order to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to log all Internet-bound requests, in order to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.7.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.M.D,6.M.D,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"9.14 21.20",,,,,,,,,,,,,,,,,,,,,,,,,,"C1.a C1.c",,,,,,,,,,0261,,,,,,,,,,,,,,"14.3.6.C.02 16.6.10.C.01 16.6.10.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Deactivated Account Activity ,MON-01.10,Mechanisms exist to monitor deactivated accounts for attempted usage.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Security Incident Event Manager (SIEM) - Splunk - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization monitor deactivated accounts for attempted usage?,9,Detect,,X,X,There is no evidence of a capability to monitor deactivated accounts for attempted usage.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor deactivated accounts for attempted usage.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor deactivated accounts for attempted usage.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A09:2021,,,,,,,,,,,,"I.1.9 ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"C1.a C1.c",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Automated Response to Suspicious Events,MON-01.11,Mechanisms exist to automatically implement pre-determined corrective actions in response to detected events that have security incident implications.,,,Does the organization automatically implement pre-determined corrective actions in response to detected events that have security incident implications?,5,Detect,,,X,There is no evidence of a capability to automatically implement pre-determined corrective actions in response to detected events that have security incident implications.,"SP-CMM1 is N/A, since a structured process is required to automatically implement pre-determined corrective actions in response to detected events that have security incident implications.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,CLS-08,,,,,,,,,,,,,,,,,,,,,,,,SI-4(7),,,,"IR-4(5) SI-4(7)",,,,,"IR-4(5) SI-4(7)",,,,,,,,,,,,,,,,3.14.2e,,,,,,A3.2.6.1,,,,,,,,,,M.1.44,,,,,,,,,,,,TBD - 3.14.2e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Automated Alerts,MON-01.12,Mechanisms exist to automatically alert incident response personnel to inappropriate or anomalous activities that have potential security incident implications.,,,Does the organization automatically alert incident response personnel to inappropriate or anomalous activities that have potential security incident implications?,5,Detect,,,X,There is no evidence of a capability to automatically alert incident response personnel to inappropriate or anomalous activities that have potential security incident implications.,"SP-CMM1 is N/A, since a structured process is required to automatically alert incident response personnel to inappropriate or anomalous activities that have potential security incident implications.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to automatically alert incident response personnel to inappropriate or anomalous activities that have potential security incident implications.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to automatically alert incident response personnel to inappropriate or anomalous activities that have potential security incident implications.",,,,,,,,,,LOG-03,MON-03,,,,,,,,,,,,,,,,,,,,,,,,SI-4(12),,,,SI-4(12),,,,SI-4(12),,,,,SI-4(12),,,,,,,,,3.3.4.a,,,,,,,,,A3.2.6.1,,,,,,,,,,J.2.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(12),,,SI-4(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-12-3-1,,,,,,,,,,,"B2.d C1.c",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Alert Threshold Tuning,MON-01.13,"Mechanisms exist to ""tune"" event monitoring technologies through analyzing communications traffic/event patterns and developing profiles representing common traffic patterns and/or events.",,,"Does the organization ""tune"" event monitoring technologies through analyzing communications traffic/event patterns and developing profiles representing common traffic patterns and/or events?",5,Detect,,X,X,"There is no evidence of a capability to ""tune"" event monitoring technologies through analyzing communications traffic/event patterns and developing profiles representing common traffic patterns and/ or events.","SP-CMM1 is N/A, since a structured process is required to ""tune"" event monitoring technologies through analyzing communications traffic/event patterns and developing profiles representing common traffic patterns and/ or events.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • A Security Operations Center (SOC), or similar function, enables cybersecurity operations covering preparation, detection and analysis, containment, eradication and recovery. • Administrative processes exist and a SIEM, or similar automated tool, is configured to perform trend analysis to assist in the determination if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data.","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"13.6 13.11",,13.6,"13.6 13.11",,,LOG-05,OPA-04,,,,,,,,,,,,,,,,,,,,,,,,SI-4(13),,,,SI-4(13),,,,,SI-4(13),,,,,,,,,,,,,,,,3.14.2e,,,,,,,,,,,,,,,,J.3.2,,,,,,,,,"5.4 5.4.1 5.4.3",,,TBD - 3.14.2e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Individuals Posing Greater Risk,MON-01.14,Mechanisms exist to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. ,,E-MON-03,Does the organization implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk? ,5,Detect,,X,X,There is no evidence of a capability to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. ,"SP-CMM1 is N/A, since a structured process is required to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. ","SP-CMM2 is N/A, since a well-defined process is required to implement enhanced activity monitoring for individuals who have been identified as posing an increased level of risk. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • Human Resources (HR) and Legal departments determine what is legally-allowable to support enhanced monitoring for individuals who pose a greater risk to the organization, including privileged users. • A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel.","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(19),,,,SI-4(19),,,,,SI-4(19),,,,,,SI-4(19),,,,SI-4(19),SI-4(19),,,,,3.14.2e,,,,,,,,,,,,,,,,"B.1.1.6 ",,,,,,,,,,,,TBD - 3.14.2e,,,,,,,,,,,,SI-4(19),,,SI-4(19),,SI-4(19),,,SI-4(19),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.7,,,,,,,,,,,,,,,,,,,,2-12-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Privileged User Oversight,MON-01.15,Mechanisms exist to implement enhanced activity monitoring for privileged users.,,E-MON-03,Does the organization implement enhanced activity monitoring for privileged users?,5,Detect,,X,,There is no evidence of a capability to implement enhanced activity monitoring for privileged users.,"SP-CMM1 is N/A, since a structured process is required to implement enhanced activity monitoring for privileged users.","SP-CMM2 is N/A, since a well-defined process is required to implement enhanced activity monitoring for privileged users.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Human Resources (HR) and Legal departments determine what is legally-allowable to support enhanced monitoring for individuals who pose a greater risk to the organization, including privileged users. • A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel.","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,3.14,,,3.14,,,"IAM-09 IAM-10 IAM-11 LOG-11",CLS-07,,,,,,,,,,,,,,,,,,,,,,,,SI-4(20),,,,SI-4(20),,,,SI-4(20),,,,,SI-4(20),,,,,,,,,3.1.7.b,,,3.14.2e,,,,,,,,,,,,,,,,D.21,,,,,,,,,,,,TBD - 3.14.2e,,,,,,,,,,,,SI-4(20),,,SI-4(20),,SI-4(20),,,SI-4(20),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.7,,,,,,,,,,,,,,,,,,TPC-83,,2-12-3-2,,,,,,,,,,,"B2.c C1.a C1.c",,,,,,"Principle 5.11 Principle 5.12",Principle 5.15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Analyze and Prioritize Monitoring Requirements,MON-01.16,"Mechanisms exist to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes.",,,"Does the organization assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes?",5,Detect,,X,,"There is no evidence of a capability to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes.","SP-CMM1 is N/A, since a structured process is required to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess the organization's needs for monitoring and prioritize the monitoring of assets, based on asset criticality and the sensitivity of the data it stores, transmits and processes.",,,,,,,,,,LOG-11,"CLS-07 CLS-08",,,,,,,,,,,,,,,,,TS-1.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.3.8.1,,,,,,SITUATION-1.E.MIL2,MON:SG1.SP4,,"5.4 5.4.1 5.4.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"B2.d C1.e",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.1 3.3.2",,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Real-Time Session Monitoring,MON-01.17,"Mechanisms exist to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations.",,,"Does the organization enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations?",4,Detect,,X,X,"There is no evidence of a capability to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations.","SP-CMM1 is N/A, since a structured process is required to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations.","SP-CMM2 is N/A, since a well-defined process is required to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable authorized personnel the ability to remotely view and hear content related to an established user session in real time, in accordance with organizational standards, as well as statutory, regulatory and contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-14(3),,,,,AU-14(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.27.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B2.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Centralized Collection of Security Event Logs,MON-02,"Mechanisms exist to utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs.","- Security Incident Event Manager (SIEM) - Splunk","E-MON-01 E-MON-05","Does the organization utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs?",10,Detect,X,X,X,"There is no evidence of a capability to utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs.","SP-CMM1 is N/A, since a structured process is required to utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a Security Incident Event Manager (SIEM) or similar automated tool, to support the centralized collection of security-related event logs.","CC7.2 CC7.3",,,"3.14 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.12 13.1","8.1 8.2 8.3","8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 13.1","3.14 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 8.12 13.1",DSS06.05,,LOG-03,"CLS-08 MON-07","SO17 SO20 SO21",,,,,,,,8.15,,,,,,,,"TS-1.5 TS-1.11",,,,,,,"AU-2 AU-2(3) AU-6 IR-4(4) SI-4","AU-2 AU-6 SI-4","AU-2 AU-2(3) AU-6 SI-4","AU-2 AU-2(3) AU-6 SI-4","AU-2 AU-6 IR-4(4) SI-4",AU-2,"AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 AU-6 IR-4(4) SI-4",,,"AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 AU-6 IR-4(4) SI-4",,"AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 SI-4","AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","3.3.1 3.3.3 3.3.5 3.3.6 3.3.8 3.3.9",3.3.5.a,,"A.03.03.05.c A.03.03.06.a",,,DE.AE-3,,A09:2021,"10.2.1 10.2.2 10.2.3 10.2.4 10.2.5 10.2.6 10.2.7 11.4","10.3.3 10.4 10.4.1 10.4.1.1",,"10.3.3 10.4.1 10.4.1.1",,,"10.3.3 10.4.1 10.4.1.1",,"10.3.3 10.4.1 10.4.1.1","10.3.3 10.4.1 10.4.1.1",,J.3.2,"6.1 6.2 6.3 6.4",,,,,SITUATION-1.E.MIL2,"COMP:SG2.SP1 COMP:SG3.SP1 MON:SG1.SP3 MON:SG2.SP3 MON:SG2.SP4",3.1,"5.4 5.4.1 5.4.3",,"AU.L2-3.3.1 AU.L2-3.3.3 AU.L2-3.3.5 AU.L2-3.3.6 AU.L2-3.3.8 AU.L2-3.3.9",,,"AU.L2-3.3.1 AU.L2-3.3.3 AU.L2-3.3.5 AU.L2-3.3.6 AU.L2-3.3.8 AU.L2-3.3.9","AU.L2-3.3.1 AU.L2-3.3.3 AU.L2-3.3.5 AU.L2-3.3.6 AU.L2-3.3.8 AU.L2-3.3.9","AU-2 AU-2(3) AU-6 SI-4",,,,,,,"§ 11.10 § 11.10(b) § 11.10(c) § 11.10(e)","AU-2 AU-6 SI-4 ","AU-2 AU-6 SI-4 ","AU-2 AU-6 SI-4 ","AU-2 AU-6 SI-4 ","AU-2 AU-6 SI-4 ","AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 AU-6 SI-4",,,,,,,,,,"AU-2 AU-6 SI-4",,,8-602,,,,,,5.4,"AU-2 AU-6","AU-2 AU-6","AU-2 AU-6",,,,,,,,,,"17.03(2)(b)(3) 17.04(4)",,,,622(2)(d)(B)(iii),,,,"AU-2 AU-6 SI-4","AU-2 AU-6 SI-4","AU-2 AU-2(3) AU-6 SI-4",,,,3.5(52),,,,,,,,,,,,,,,OPS-14,,,,"4.6 12.17 21.3 21.4 21.6 21.12",,,,,,,,,,,,"2-11-1-3 2-11-1-4",TPC-81,3.3.14,,"2-11-1-3 2-11-1-9",,,,,,,,,,"C1.a C1.c","C1 C2",,,,,,Principle 5.14,,,"1566 1405 0109 1228",,,,,,,,,,,,,,"16.6.11.C.01 16.6.11.C.02 16.6.11.C.03 16.6.12.C.01 16.6.12.C.02 16.6.12.C.03",,,,,9.1.3,,,,,,6.21,,3.2,"3.3.1 3.3.2",,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Correlate Monitoring Information,MON-02.1,"Automated mechanisms exist to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Security Incident Event Manager (SIEM) - Splunk - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization use automated mechanisms to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness?",9,Detect,,X,X,"There is no evidence of a capability to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness.","SP-CMM1 is N/A, since a structured process is required to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to correlate both technical and non-technical information from across the enterprise by a Security Incident Event Manager (SIEM) or similar automated tool, to enhance organization-wide situational awareness.","CC7.2 CC7.3",,,"3.14 8.12 13.6",,13.6,"3.14 8.12 13.6",DSS06.05,,"LOG-03 LOG-12",,,,,,,,,,8.15,,,,,,,,"TS-1.5 TS-1.11",,,,,,,"AU-6(3) IR-4(4) SI-4(16)",,AU-6(3),"AU-6(3) IR-4(4)","AU-6(3) AU-6(9) IR-4(4) SI-4(16)",,,AU-6(3),"AU-6(3) IR-4(4)",SI-4(16),,,AU-6(3),"AU-6(3) IR-4(4)",,AU-6(9),,,,,AU-6(9),"3.3.5 3.14.7",3.3.5.c,"3.3.5[a] 3.3.5[b] 3.14.7[a] 3.14.7[b]",A.03.03.05.c,,,DE.AE-3,DE.AE-03,A09:2021,,"10.4.1.1 12.10.5",,10.4.1.1,,,10.4.1.1,,"10.4.1.1 12.10.5","10.4.1.1 12.10.5",,J.3.2,,,,,,"SITUATION-1.E.MIL2 SITUATION-3.E.MIL3 SITUATION-3.F.MIL3",,3.1,"5.4 5.4.1 5.4.3",,"AU.L2-3.3.5 SI.L2-3.14.7","AU.L2-3.3.5 SI.L2-3.14.7",,"AU.L2-3.3.5 SI.L2-3.14.7","AU.L2-3.3.5 SI.L2-3.14.7",AU-6(3),,,,,,,,"AU-6(3) IR-4(4) SI-4(16)",,"AU-6(3) SI-4(16) ","AU-6(3) IR-4(4) SI-4(16)",,"AU-6(3) IR-4(4) SI-4(16)",,"AU-6(3) SI-4(16)","AU-6(3) IR-4(4) SI-4(16)",,,,,,,,,,,"AU-6(3) AU-6(9)",,,,,,,,,5.6,,,"AU-6(3) SI-4(16)",,,,,,,,,,,,,,,,,,,,"AU-6(3) SI-4(16)",,,,,,,,,,,,,,,,,,,OPS-13,,,,"4.6 12.17 21.6 21.12 21.13 21.19",,,,,,,,,,,,"2-11-1-3 2-11-1-4",TPC-81,3.3.14,,"2-11-1-4 2-11-1-5 2-11-1-6 2-11-1-7 2-11-1-8 2-11-1-10",,,,,,,,,,"C1.a C1.c",,,,,,,Principle 5.17,,,1228,,,,,,,,,,,,,,"16.6.14.C.01 18.4.12.C.01",,,,,12.2.5,,,,,,,,3.6,"3.3.1 3.3.2",,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Central Review & Analysis,MON-02.2,"Automated mechanisms exist to centrally collect, review and analyze audit records from multiple sources.",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),"E-MON-01 E-MON-02 E-MON-05","Does the organization use automated mechanisms to centrally collect, review and analyze audit records from multiple sources?",5,Detect,X,X,X,"There is no evidence of a capability to centrally collect, review and analyze audit records from multiple sources.","SP-CMM1 is N/A, since a structured process is required to centrally collect, review and analyze audit records from multiple sources.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,8.11,,8.11,8.11,,,LOG-03,"CLS-08 MON-07",,,,,,,,12.4.1 ,"6.8 8.15 8.16",12.4.1 ,,,,,,,"TS-1.5 TS-1.11",,,CT.DM-P8,,,,AU-6(4),,,,AU-6(4),,,,,AU-6(4),,,,,,,,,,,,,"3.3.1.b 3.3.5.a 3.3.5.b 3.3.5.c",,A.03.03.05.a,,,,,,,"10.3.3 10.4 10.4.1 10.4.1.1",,"10.3.3 10.4.1 10.4.1.1",,,"10.3.3 10.4.1 10.4.1.1",,"10.3.3 10.4.1 10.4.1.1","10.3.3 10.4.1 10.4.1.1",,J.1.2,"6.1 6.2 6.3 6.4",,,,,SITUATION-3.A.MIL2,,3.1,,,,,,,,,,,,,,,,AU-6(4),,,AU-6(4),,AU-6(4),,,AU-6(4),,,,,,,,,,,,,,,3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.5(52),,,,,,,,,,,,,,,OPS-13,,,,,,,,,,,,,,,,2-11-1-3,TPC-81,,2-12-3-4,"2-11-1-9 2-11-2",,,,,7.3.8 [OP.EXP.8],,,,,"C1.a C1.c C1.e","C1 C2",,,,,,"Principle 5.17 Principle 7.10",,,1228,,,,,,,,,,,"12.4.1 12.4.1.15.PB",,,"16.6.11.C.01 16.6.11.C.02 16.6.11.C.03 16.6.12.C.01 16.6.12.C.02 16.6.12.C.03",,,,,12.2.6,,,,,,6.21,,,"3.3.1 3.3.2",,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Integration of Scanning & Other Monitoring Information,MON-02.3,"Automated mechanisms exist to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity.",,,"Does the organization use automated mechanisms to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity?",5,Detect,,X,X,"There is no evidence of a capability to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity.","SP-CMM1 is N/A, since a structured process is required to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity.","SP-CMM2 is N/A, since a well-defined process is required to integrate the analysis of audit records with analysis of vulnerability scanners, network performance, system monitoring and other sources to further enhance the ability to identify inappropriate or unusual activity.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"3.14 8.6 8.7 8.12 13.6",,"8.6 8.7 13.6","3.14 8.6 8.7 8.12 13.6",,,LOG-11,,,,,,,,,,,,,,,,,,TS-1.11,,,,,,,AU-6(5),,,AU-6(5),"AU-6(5) SI-4(17)",,,,AU-6(5),SI-4(17),,,,AU-6(5),,SI-4(17),,,,SI-4(17),SI-4(17),,3.3.5.c,,,,,,DE.CM-02,,,,,,,,,,,,,J.3,,,,,,,,,,,,,,,,,,,,,,,,AU-6(5),,,AU-6(5),,AU-6(5),,,AU-6(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-11-1-4 2-11-1-5 2-11-1-6 2-11-1-7 2-11-1-8 2-11-1-10",,,,,,,,,,"C1.a C1.c","C1 C2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Correlation with Physical Monitoring,MON-02.4,"Automated mechanisms exist to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. ",,,"Does the organization use automated mechanisms to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity? ",5,Detect,,X,X,"There is no evidence of a capability to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. ","SP-CMM1 is N/A, since a structured process is required to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. ","SP-CMM2 is N/A, since a well-defined process is required to correlate information from audit records with information obtained from monitoring physical access to further enhance the ability to identify suspicious, inappropriate, unusual or malevolent activity. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,LOG-12,,,,,,,,,,,,,,,,,,,,,,,,,AU-6(6),,,AU-6(6),AU-6(6),,,,AU-6(6),,,,,AU-6(6),,,,,,,,,,,,3.14.2e,,,"DE.CM-02 DE.AE-03",,,,,,,,,,,,,J.3,,,,,,,,,,,,TBD - 3.14.2e,,,,,,,,,,,,AU-6(6),,,AU-6(6),,AU-6(6),,,AU-6(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Permitted Actions,MON-02.5,"Mechanisms exist to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. ",,,"Does the organization specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information? ",5,Protect,,X,X,"There is no evidence of a capability to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. ","SP-CMM1 is N/A, since a structured process is required to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to specify the permitted actions for both users and systems associated with the review, analysis and reporting of audit information. ",,,,,,,,,,LOG-09,MON-04,,,,,,,,,,,,,,,,,,,,,,,,AU-6(7),,,,AU-6(7),,,,,AU-6(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.10,,,,,,,,,,,,,,,,,,,,,,,,AU-6(7),,,AU-6(7),,AU-6(7),,,AU-6(7),,,,,,,,,,,AU-6(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-1-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Audit Level Adjustments,MON-02.6,"Mechanisms exist to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. ",,,"Does the organization adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence? ",5,Detect,,X,X,"There is no evidence of a capability to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. ","SP-CMM1 is N/A, since a structured process is required to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. ","SP-CMM2 is N/A, since a well-defined process is required to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel.","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to adjust the level of audit review, analysis and reporting based on evolving threat information from law enforcement, industry associations or other credible sources of threat intelligence. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-6(10),,,,AU-6,,AU-6,AU-6,AU-6,,,AU-6,AU-6,AU-6,,AU-6,AU-6,,,AU-6,AU-6,,,,,,,,,,,,,,,,,,,,,J.1.2,,,,,,,,,,,,,,,,,,,,,,,,AU-6(10),,,AU-6(10),,,,,,,,,,,,,,,,AU-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-6,,,,,,,,,,,,,,,,,,,,,OIS-05,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,System-Wide / Time-Correlated Audit Trail,MON-02.7,Automated mechanisms exist to compile audit records into an organization-wide audit trail that is time-correlated.,,,Does the organization use automated mechanisms to compile audit records into an organization-wide audit trail that is time-correlated?,5,Detect,,,X,There is no evidence of a capability to compile audit records into an organization-wide audit trail that is time-correlated.,"SP-CMM1 is N/A, since a structured process is required to compile audit records into an organization-wide audit trail that is time-correlated.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,8.2,8.2,8.2,8.2,,,LOG-03,MON-07,,,,,,,,,,,,,,,,,,,,,,,,AU-12(1),,,AU-12(1),AU-12(1),,,,AU-12(1),,,,,AU-12(1),,,,,,,,,3.3.1.a,,,,,,DE.AE-03,,,"10.6 10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3",,,"10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3","10.6.1 10.6.2 10.6.3",,G.6.1,,,,,,,,3.1,,,,,,,,AU-12(1),,,,,,,,AU-12(1),,,AU-12(1),,AU-12(1),,,AU-12(1),,,,,,,,,,,AU-12(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-11-1-1 2-11-1-2 2-11-1-3",,,,,,,,,,"C1.a C1.c",,,,,,,,,,0988,,,,,,,,,,,,,,16.6.11.C.02,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Changes by Authorized Individuals,MON-02.8,"Mechanisms exist to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. ",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds? ",5,Detect,,X,X,"There is no evidence of a capability to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. ","SP-CMM1 is N/A, since a structured process is required to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide privileged users or roles the capability to change the auditing to be performed on specified information system components, based on specific event criteria within specified time thresholds. ",,,,,,,,,,LOG-09,MON-04,,,,,,,,,,,,,,,,,TS-1.5,,,,,,,AU-12(3),,,AU-12(3),AU-12(3),,,,AU-12(3),,,,,AU-12(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.5,,,,,,,,,,,,,,,,,,,,,,,,AU-12(3),,,AU-12(3),,AU-12(3),,,AU-12(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Content of Event Logs,MON-03,"Mechanisms exist to configure systems to produce event logs that contain sufficient information to, at a minimum: ▪ Establish what type of event occurred; ▪ When (date and time) the event occurred; ▪ Where the event occurred; ▪ The source of the event; ▪ The outcome (success or failure) of the event; and ▪ The identity of any user/subject associated with the event. ",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization configure systems to produce event logs that contain sufficient information to, at a minimum: ▪ Establish what type of event occurred; ▪ When (date and time) the event occurred; ▪ Where the event occurred; ▪ The source of the event; ▪ The outcome (success or failure) of the event; and ▪ The identity of any user/subject associated with the event? ",10,Detect,X,X,X,"There is no evidence of a capability to configure systems to produce event logs that contain sufficient information to, at a minimum: ▪ Establish what type of event occurred; ▪ When (date and time) the event occurred; ▪ Where the event occurred; ▪ The source of the event; ▪ The outcome (success or failure) of the event; and ▪ The identity of any user/subject associated with the event. ","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure systems to produce event logs that contain sufficient information to, at a minimum: ▪ Establish what type of event occurred; ▪ When (date and time) the event occurred; ▪ Where the event occurred; ▪ The source of the event; ▪ The outcome (success or failure) of the event; and ▪ The identity of any user/subject associated with the event. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure systems to produce event logs that contain sufficient information to, at a minimum: ▪ Establish what type of event occurred; ▪ When (date and time) the event occurred; ▪ Where the event occurred; ▪ The source of the event; ▪ The outcome (success or failure) of the event; and ▪ The identity of any user/subject associated with the event. ",PI1.4,,,"3.14 8.2",8.2,8.2,"3.14 8.2",,,LOG-08,"MON-03 MON-06",,,CR 2.8 (6.10.1),,,,,12.4.1 ,8.15,12.4.1 ,,,,,,,,Sec 4(D)(2)(i),,,,,,"AU-3 DM-2(1)",AU-3,AU-3,AU-3,AU-3,,AU-3,AU-3,AU-3,,,AU-3,AU-3,AU-3,,AU-3,AU-3,AU-3,AU-3,AU-3,AU-3,3.3.2,"3.3.1.a 3.3.2.a 3.3.2.a.1 3.3.2.a.2 3.3.2.a.3 3.3.2.a.4 3.3.2.a.5 3.3.2.a.6 3.3.2.b 3.3.3.a","3.3.1[a] 3.3.1[b] 3.3.1[d] 3.3.2[a] 3.3.2[b]","A.03.03.01.b[01] A.03.03.01.b[02] A.03.03.01.ODP[01] A.03.03.02.a.01 A.03.03.02.a.02 A.03.03.02.a.03 A.03.03.02.a.04 A.03.03.02.a.05 A.03.03.02.a.06 A.03.03.02.b.07 A.03.03.03.a",,,,,A09:2021,"10.3 10.3.1 10.3.2 10.3.3 10.3.4 10.3.5 10.3.6","10.2 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2",,"10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2",,,"10.2.1.2 10.2.1.4 10.2.1.5 10.2.2",,"10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2","10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2",,N.15,,,,,,,"COMP:SG1.SP3 COMP:SG3.SP1 TM:SG2.SP2",3.1,"5.4.1 5.4.1.1 5.4.1.1.1",,AU.L2-3.3.2,AU.L2-3.3.2,,AU.L2-3.3.2,AU.L2-3.3.2,AU-3,,,,,,,"§ 11.10 § 11.10(b) § 11.10(c) § 11.10(e)",AU-3 ,AU-3 ,AU-3 ,AU-3 ,AU-3 ,AU-3,AU-3,AU-3,AU-3,AU-3,,,,,,,,,,AU-3,,,8-602,"3.1 3.2 7.1",,,,,,AU-3 ,AU-3 ,AU-3 ,III.D.3.a,,,,,,,,,,,500.06,,,38-99-20(D)(2)(i),,,AU-3,AU-3,AU-3,,,,3.5(52),,,,,,,,,,,,,,6.3,OPS-15,,,,"4.6 12.17 21.2 21.5 21.7 21.10",,,,,,,,,,,,2-11-1-5,,,,,,,,,7.3.8 [OP.EXP.8],,,,,"C1.a C1.c",,,,,,,,,,"0582 1536 1537 0585",,,,,,,,,,,"12.4.1 12.4.1.15.PB",,,"16.6.7.C.01 16.6.9.C.01 16.6.10.C.01 16.6.10.C.02",,,,,,,,,,,6.21,,,,,,,,,,,,,,x,NAIC,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- wordsmithed control Continuous Monitoring,Sensitive Audit Information,MON-03.1,Mechanisms exist to protect sensitive/regulated data contained in log files. ,,,Does the organization protect sensitive/regulated data contained in log files? ,8,Detect,,,X,There is no evidence of a capability to protect sensitive/regulated data contained in log files. ,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect sensitive/regulated data contained in log files. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect sensitive/regulated data contained in log files. ",,,,3.14,,,3.14,,,LOG-02,,,,,,,,,,,,,,,,,,,,,,,,,"AU-3(1) AU-6(1)",,"AU-3(1) AU-6(1)","AU-3(1) AU-6(1)","AU-3(1) AU-6(1)",,,"AU-3(1) AU-6(1)","AU-3(1) AU-6(1)",,,,"AU-3(1) AU-6(1)","AU-3(1) AU-6(1)",,,,,,,,3.3.8,,,,,,,,,,,,,,,,,,,,N.15.1,,,,,,,,,,,AU.L2-3.3.8,,,AU.L2-3.3.8,AU.L2-3.3.8,"AU-3(1) AU-6(1)",,,,,,,,"AU-3(1) AU-6(1) ",,"AU-3(1) AU-6(1) ","AU-3(1) AU-6(1) ",,"AU-3(1) AU-6(1)",,"AU-3(1) AU-6(1)","AU-3(1) AU-6(1)",,,,,,,,,,,"AU-3(1) AU-6(1)",,,,,,,,,"5.4 5.6",,,"AU-3(1) AU-6(1) ",,,,,,,,,,,,,,,,,,,,"AU-3(1) AU-6(1)",,,,,,,,,,,,,,,,,,,,,,,21.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-4 R-AM-1 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-2 R-GV-4 R-GV-5 R-IR-4",,,,R-AC-4,R-AM-1,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Audit Trails,MON-03.2,Mechanisms exist to link system access to individual users or service accounts.,,,Does the organization link system access to individual users or service accounts?,10,Detect,,,X,There is no evidence of a capability to link system access to individual users or service accounts.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • Secure baseline configurations restrict access to event logs from privileged users to protect event logs and audit tools from unauthorized access, modification and deletion.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to link system access to individual users or service accounts.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to link system access to individual users or service accounts.",,,,,,,,,,LOG-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3.1.a,"3.3.2[a] 3.3.1[c]",,,,,,A09:2021,10.1,"10.2 10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2",,"10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2",,,"10.2.1.2 10.2.1.4 10.2.1.5 10.2.2",,"10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2","10.2.1 10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7 10.2.2",,H.2.2,,,,,,,,3.1,,,,,,,,,,,,,,,"§ 11.10 § 11.10(b) § 11.10(c) § 11.10(e)",,,,,,,,,,,,,,,,,,,,,,,,"3.1 3.2 7.1",,,,,5.4,,,,III.D.3.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.17,,,,,,,,,,,,2-11-1-3,,,,,,,,,,,,,,"C1.a C1.c",,,,,,,,,,,,,,,,,,,,,,,,"16.6.8.C.01 16.6.9.C.01 16.6.10.C.01 16.6.10.C.02",,,,,9.2.2,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Privileged Functions Logging ,MON-03.3,Mechanisms exist to log and review the actions of users and/or services with elevated privileges.,"- Security Incident Event Manager (SIEM) - Splunk",,Does the organization log and review the actions of users and/or services with elevated privileges?,8,Detect,,,X,There is no evidence of a capability to log and review the actions of users and/ or services with elevated privileges.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. • Logs of privileged functions (e.g., administrator or root actions) are reviewed for evidence of unauthorized activities.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • Human Resources (HR) and Legal departments determine what is legally-allowable to support enhanced monitoring for individuals who pose a greater risk to the organization, including privileged users. • A Security Operations Center (SOC), or similar capability, configures monitoring technologies to implement the enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel. • Logs of privileged functions (e.g., administrator or root actions) are reviewed for evidence of unauthorized activities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to log and review the actions of users and/ or services with elevated privileges.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to log and review the actions of users and/ or services with elevated privileges.",,,,8.8,,8.8,8.8,,,"IAM-09 IAM-10 IAM-11",,,,,,,,,12.4.3 ,8.15,12.4.3 ,,6.9.4.3,,,,,,,,,,,,AU-6(8),,,,AU-6(8),,,,,AU-6(8),,,,,,,,,,,,,3.1.7.b,,A.03.01.07.b,,,,,A09:2021,"10.2 10.2.1 10.2.2 10.2.3 10.2.4 10.2.5 10.2.6 10.2.7","10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7",,"10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7",,,"10.2.1.2 10.2.1.4 10.2.1.5",,"10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7","10.2.1.1 10.2.1.2 10.2.1.3 10.2.1.4 10.2.1.5 10.2.1.6 10.2.1.7",,H.2.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,OPS-16,,,,"21.10 21.21",,,,,,,,,,,,,,,2-12-3-2,,,,,,,,,,,"B2.c C1.a C1.c",,,,,,"Principle 5.11 Principle 5.12",Principle 5.15,,,1537,,,,,,,,,,,12.4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Verbosity Logging for Boundary Devices ,MON-03.4,"Mechanisms exist to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies.",,,"Does the organization verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies?",5,Detect,,,X,"There is no evidence of a capability to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies.","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verbosely log all traffic (both allowed and blocked) arriving at network boundary devices, including firewalls, Intrusion Detection / Prevention Systems (IDS/IPS) and inbound and outbound proxies.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A09:2021,,,,,,,,,,,,N.6.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"21.5 21.21",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-3 R-GV-1 R-IR-1 R-SA-1",,,,R-AC-4,,,R-AM-3,,,,,,,,,,,,,R-GV-1,,,,,,,,R-IR-1,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Limit Personal Data (PD) In Audit Records,MON-03.5,Mechanisms exist to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment.,- Data Protection Impact Assessment (DPIA),,Does the organization limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment?,8,Detect,,X,X,There is no evidence of a capability to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit Personal Data (PD) contained in audit records to the elements identified in the data privacy risk assessment.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-3(3),AU-3(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-3(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C1.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-4 R-AM-1 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-2 R-GV-4 R-GV-5 R-IR-4",,,,R-AC-4,R-AM-1,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Centralized Management of Planned Audit Record Content,MON-03.6,Mechanisms exist to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. ,,,Does the organization centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components? ,5,Detect,X,X,X,There is no evidence of a capability to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. ,"SP-CMM1 is N/A, since a structured process is required to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to centrally manage and configure the content required to be captured in audit records generated by organization-defined information system components. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-3(2),,,AU-3(2),PL-9,PL-9,,,,,,,,,,PL-9,,,PL-9,PL-9,,,,,,,,,,,,,,,,,,,,,,M.1.43,,,,,,,,,,,,,,,,,,,,,,,,AU-3(2),,,AU-3(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-12-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Database Logging,MON-03.7,Mechanisms exist to ensure databases produce audit records that contain sufficient information to monitor database activities.,,,Does the organization ensure databases produce audit records that contain sufficient information to monitor database activities?,8,Detect,,,X,There is no evidence of a capability to ensure databases produce audit records that contain sufficient information to monitor database activities.,"SP-CMM1 is N/A, since a structured process is required to ensure databases produce audit records that contain sufficient information to monitor database activities.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure databases produce audit records that contain sufficient information to monitor database activities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure databases produce audit records that contain sufficient information to monitor database activities.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3.2[a],,,,,,,,7.2.6,,,,,,,7.2.6,7.2.6,,U.1.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1537,,,,,,,,,,,,,,"16.6.7.C.01 16.6.9.C.01 16.6.10.C.01 16.6.10.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Event Log Storage Capacity ,MON-04,Mechanisms exist to allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. ,,,Does the organization allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded? ,8,Detect,,X,X,There is no evidence of a capability to allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. ,"SP-CMM1 is N/A, since a structured process is required to allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to allocate and proactively manage sufficient event log storage capacity to reduce the likelihood of such capacity being exceeded. ",,,,8.10,,8.10,8.10,,,,,,,CR 2.9 (6.11.1),,,,,,,,,,,,,,,,,,,,,AU-4,AU-4,AU-4,"AU-4 AU-5(1)",AU-4,,AU-4,AU-4,AU-4,,,AU-4,AU-4,AU-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,"I.3.15.5 ",,,,,,,TM:SG5.SP3,,,,,,,,,AU-4,,,,,,,,"AU-4 AU-5(1)",AU-4 ,AU-4 ,"AU-4 AU-5(1)",AU-4 ,"AU-4 AU-5(1)",AU-4,AU-4,"AU-4 AU-5(1)",AU-4,,,,,,,,,,AU-4,,,8-602,,,,,,,AU-4,AU-4,AU-4,,,,,,,,,,,,,,,,,,AU-4,AU-4,AU-4,,,,,,,,,,,,,,,,,,,,,,,21.8,,,,,,,,,,,,,,,2-12-3-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.6.13.C.01 16.6.13.C.02 16.6.13.C.03 16.6.13.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Response To Event Log Processing Failures,MON-05,Mechanisms exist to alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Security Incident Event Manager (SIEM) - Splunk - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption?,8,Detect,,X,X,There is no evidence of a capability to alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to alert appropriate personnel in the event of a log processing failure and take actions to remedy the disruption.",,,,,,,,,,LOG-13,,,,CR 2.10 (6.12.1),,,,,,,,,,,,,,,,,,,,,AU-5,AU-5,AU-5,AU-5,AU-5,,AU-5,AU-5,AU-5,,,AU-5,AU-5,AU-5,,,,,,,,3.3.4,"3.3.4.a 3.3.4.b","3.3.4[a] 3.3.4[b] 3.3.4[c]","A.03.03.04.a A.03.03.04.b A.03.03.04.ODP[01] A.03.03.04.ODP[02]",,,,,A09:2021,,,,,,,,,,,,I.1.17,,,,,,,"COMP:SG1.SP3 TM:SG5.SP2",,5.4.2,,AU.L2-3.3.4,AU.L2-3.3.4,,AU.L2-3.3.4,AU.L2-3.3.4,AU-5,,,,,,,,AU-5 ,AU-5 ,AU-5 ,AU-5 ,AU-5 ,AU-5,AU-5,AU-5,AU-5,AU-5,,,,,,,,,,AU-5,,,8-602,,,,,,,AU-5 ,AU-5 ,AU-5 ,,,,,,,,,,,,,,,,,,AU-5,AU-5,AU-5,,,,,,,,,,,,,,,,,,,OPS-17,,,,21.9,,,,,,,,,,,,,,,,2-11-1-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Real-Time Alerts of Event Logging Failure,MON-05.1,Mechanisms exist to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Security Incident Event Manager (SIEM) - Splunk - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization provide 24x7x365 near real-time alerting capability when an event log processing failure occurs? ,6,Detect,,,X,There is no evidence of a capability to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. ,"SP-CMM1 is N/A, since a structured process is required to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide 24x7x365 near real-time alerting capability when an event log processing failure occurs. ",,,,,,,,,,LOG-13,,,,,,,,,,,,,,,,,,,,,,,,,"AU-5(2) SI-4(12)",,,AU-5(2),"AU-5(2) SI-4(12)",,,,"AU-5(2) SI-4(12)",,,,,"AU-5(2) SI-4(12)",,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.17,,,,,,,,,,,,,,,,,,,,,,,,AU-5(2),,,AU-5(2),,"AU-5(2) SI-4(12)",,,"AU-5(2) SI-4(12)",,,,,,,,,,,SI-4(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,OPS-17,,,,21.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Event Log Storage Capacity Alerting ,MON-05.2,Automated mechanisms exist to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity.,,,Does the organization use automated mechanisms to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity?,5,Detect,,,X,There is no evidence of a capability to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity.,"SP-CMM1 is N/A, since a structured process is required to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to alert appropriate personnel when the allocated volume reaches an organization-defined percentage of maximum event log storage capacity.",,,,,,,,,,,,,,CR 2.9 (6.11.3(1)),,,,,,,,,,,,,,,,,,,,,AU-5(1),,,AU-5(1),AU-5(1),,,,AU-5(1),,,,,AU-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,"I.3.15.5 ",,,,,,,,,,,,,,,,AU-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,AU-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-SA-1",R-AC-1,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Monitoring Reporting ,MON-06,Mechanisms exist to provide an event log report generation capability to aid in detecting and assessing anomalous activities. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Security Incident Event Manager (SIEM) - Splunk - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization provide an event log report generation capability to aid in detecting and assessing anomalous activities? ,7,Detect,,X,X,There is no evidence of a capability to provide an event log report generation capability to aid in detecting and assessing anomalous activities. ,"SP-CMM1 is N/A, since a structured process is required to provide an event log report generation capability to aid in detecting and assessing anomalous activities. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide an event log report generation capability to aid in detecting and assessing anomalous activities. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide an event log report generation capability to aid in detecting and assessing anomalous activities. ","CC7.2 CC7.3",,,,,,,,,LOG-13,,,,,,,,,,"6.8 8.15",,,,,,,,,,,,,,,"AU-7 AU-7(1) AU-12",AU-12,"AU-7 AU-7(1) AU-12","AU-7 AU-7(1) AU-12","AU-7 AU-7(1) AU-12",,AU-12,"AU-7 AU-7(1) AU-12","AU-7 AU-7(1) AU-12",,,AU-12,"AU-7 AU-7(1) AU-12","AU-7 AU-7(1) AU-12",,AU-12,AU-12,AU-12,,AU-12,AU-12,3.3.6,"3.3.3.a 3.3.5.b 3.3.6.a","3.3.6[a] 3.3.6[b]","A.03.03.05.b A.03.03.06.a",,,DE.DP-4,,,,,,,,,,,,,,J.3.2,,,,,,"SITUATION-3.B.MIL2 SITUATION-3.C.MIL2","COMP:SG3.SP2 TM:SG2.SP2",,,,AU.L2-3.3.6,AU.L2-3.3.6,,AU.L2-3.3.6,AU.L2-3.3.6,"AU-7 AU-7(1) AU-12",,,,,,,,"AU-7 AU-7(1) AU-12",AU-12,"AU-7 AU-7(1) AU-12","AU-7 AU-7(1) AU-12",AU-12,"AU-7 AU-7(1) AU-12",AU-12,"AU-7 AU-7(1) AU-12","AU-7 AU-7(1) AU-12",AU-12,,"D3.DC.Ev.B.2 D5.ER.Is.B.1 D5.ER.Is.E.1",,,,,,,,"AU-7 AU-7(1) AU-12",,,8-602,,,,,,5.6,,,"AU-7 AU-7(1)",,,,,,,,,,,,,,,,,,AU-12,AU-12,"AU-7 AU-7(1) AU-12",,,,,,,,,,,,,,,,,,,,,,,"21.3 21.11 21.19 21.20",,,,,,,,,,,,,,,,,,,,,,,,,,C1.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.2.6,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Query Parameter Audits of Personal Data (PD),MON-06.1,Mechanisms exist to provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD).,,,Does the organization provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD)?,3,Detect,,X,X,There is no evidence of a capability to provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD).","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide and implement the capability for auditing the parameters of user query events for data sets containing Personal Data (PD).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-12(4),,,,,AU-12(4),,,,,,,,,,,,,,,,,,,,A09:2021,,,,,,,,,,,,P.9.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AM-3 R-EX-5 R-GV-3 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,,,R-GV-3,,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Trend Analysis Reporting,MON-06.2,"Mechanisms exist to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data.",,,"Does the organization employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/or the types of activities used in the continuous monitoring process need to be modified based on empirical data?",5,Detect,,,X,"There is no evidence of a capability to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data.","SP-CMM1 is N/A, since a structured process is required to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data.","SP-CMM2 is N/A, since a well-defined process is required to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • Administrative processes exist and a SIEM, or similar automated tool, is configured to perform trend analysis to assist in the determination if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data. • The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ trend analyses to determine if security control implementations, the frequency of continuous monitoring activities, and/ or the types of activities used in the continuous monitoring process need to be modified based on empirical data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-7(3),,,,CA-7(3),,,,,CA-7(3),,,,,,CA-7(3),,,,,CA-7(3),,,,,,,,,,,,,,,,,,,,,C.1.9,,,,,,"SITUATION-3.B.MIL2 SITUATION-3.C.MIL2 SITUATION-3.D.MIL3",,,,,,,,,,,,,,,,,,CA-7(3),,,CA-7(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Time Stamps ,MON-07,Mechanisms exist to configure systems to use an authoritative time source to generate time stamps for event logs. ,,,Does the organization configure systems to use an authoritative time source to generate time stamps for event logs? ,10,Detect,,,X,There is no evidence of a capability to configure systems to use an authoritative time source to generate time stamps for event logs. ,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. • Secure baseline configurations use internal system clocks to generate time stamps for security event logs that are synchronized with an authoritative time source. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • Secure baseline configurations use internal system clocks to generate time stamps for security event logs that are synchronized with an authoritative time source. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure systems to use an authoritative time source to generate time stamps for event logs. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure systems to use an authoritative time source to generate time stamps for event logs. ",,,,,,,,,,LOG-06,,,,CR 2.11 (6.13.1),,,,,,,,,,,,,,TS-1.5,,,,,,,AU-8,AU-8,AU-8,AU-8,AU-8,,AU-8,AU-8,AU-8,,,AU-8,AU-8,AU-8,,,,,,,,,"3.3.2.a.2 3.3.7.a 3.3.7.b 3.3.7.b.1 3.3.7.b.2 3.3.7.b.3","3.3.7[a] 3.3.7[b]","A.03.03.07.b[01] A.03.03.07.b[02] A.03.03.07.ODP[01]",,,,,A09:2021,"10.4 10.4.1 10.4.2 10.4.3","10.2 10.6 10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3",,,"10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3","10.6.1 10.6.2 10.6.3",,G.6.1,,,,,,,TM:SG2.SP2,,5.4.4,,,,,,,AU-8,,,,,,,"§ 11.10 § 11.10(b) § 11.10(c) § 11.10(e)",AU-8 ,AU-8 ,AU-8 ,AU-8 ,AU-8 ,AU-8,AU-8,AU-8,AU-8,AU-8,,,,,,,,,,AU-8,,,8-602,,,,,,,AU-8 ,AU-8 ,AU-8 ,,,,,,,,,,,,,,,,,,AU-8,AU-8,AU-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-3-4,,,,,,8.7.5 [MP.INFO.5],,,,,"C1.a C1.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AM-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,,,R-AM-3,,,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Synchronization With Authoritative Time Source,MON-07.1,Mechanisms exist to synchronize internal system clocks with an authoritative time source. ,- Network Time Protocol (NTP),,Does the organization synchronize internal system clocks with an authoritative time source? ,8,Detect,,,X,There is no evidence of a capability to synchronize internal system clocks with an authoritative time source. ,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to synchronize internal system clocks with an authoritative time source. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to synchronize internal system clocks with an authoritative time source. ",,,,8.4,,8.4,8.4,,,LOG-06,,,,"CR 2.11 (6.13.3(1)) CR 2.11 (6.13.3(2))",,,,,,,,,,,,,,TS-1.5,,,,,,,AU-8(1),,AU-8(1),AU-8(1),"SC-45 SC-45(1)",,,,,"SC-45 SC-45(1)",,SC-45,SC-45,SC-45,,,,,,,,3.3.7,"3.3.7.a 3.3.7.b 3.3.7.b.1 3.3.7.b.2 3.3.7.b.3","3.3.7[b] 3.3.7[c]",A.03.03.07.a,,,,,A09:2021,,"10.6 10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3",,,"10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3","10.6.1 10.6.2 10.6.3",,G.6,,,,,,,,,,,AU.L2-3.3.7,AU.L2-3.3.7,,AU.L2-3.3.7,AU.L2-3.3.7,AU-8(1),,,,,,,"§ 11.10 § 11.10(b) § 11.10(c) § 11.10(e)",AU-8(1),,AU-8(1),AU-8(1),,"SC-45 SC-45(1)",,"SC-45 SC-45(1)","SC-45 SC-45(1)",,,,,,,,,,,"SC-45 SC-45(1)",,,,,,,,,,AU-8(1),AU-8(1),AU-8(1),,,,,,,,,,,,,,,,,,,,AU-8(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-3-4,,,,,,,,,,,C1.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AM-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,,,R-AM-3,,,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SC-45 Continuous Monitoring,Protection of Event Logs ,MON-08,"Mechanisms exist to protect event logs and audit tools from unauthorized access, modification and deletion.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Security Incident Event Manager (SIEM) - Splunk",,"Does the organization protect event logs and audit tools from unauthorized access, modification and deletion?",10,Detect,,X,X,"There is no evidence of a capability to protect event logs and audit tools from unauthorized access, modification and deletion.","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • Secure baseline configurations restrict access to event logs from privileged users to protect event logs and audit tools from unauthorized access, modification and deletion.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect event logs and audit tools from unauthorized access, modification and deletion.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect event logs and audit tools from unauthorized access, modification and deletion.","PI1.4 PI1.5",,,,,,,,,"IAM-12 LOG-02 LOG-09","MON-04 MON-05",,,"CR 3.9 (7.11.1) CR 6.1 (10.3.3(1))",,,,,12.4.2 ,8.15,12.4.2 ,,6.9.4.2,,,,,TS-1.5,,,,,,,AU-9,AU-9,AU-9,AU-9,AU-9,,AU-9,AU-9,AU-9,,,AU-9,AU-9,AU-9,,,,,,,,3.3.8,"3.3.3.b 3.3.6.b 3.3.8.a 3.3.8.b","3.3.8[a] 3.3.8[b] 3.3.8[c] 3.3.8[d] 3.3.8[e] 3.3.8[f]","A.03.03.03.b A.03.03.06.b A.03.03.08.a A.03.03.08.b",,,,,"A01:2021 A09:2021","10.5 10.5.1 10.5.2 10.5.3 10.5.4 10.5.5","10.3 10.3.1 10.3.2",,"10.3.1 10.3.2",,,"10.3.1 10.3.2",,"10.3.1 10.3.2","10.3.1 10.3.2",,M.1.59,,,,,,,TM:SG2.SP2,3.2,5.4.5,,AU.L2-3.3.8,AU.L2-3.3.8,,AU.L2-3.3.8,AU.L2-3.3.8,AU-9,,,,,,,"§ 11.10 § 11.10(b) § 11.10(c) § 11.10(e)",AU-9,AU-9,AU-9,AU-9,AU-9,AU-9,AU-9,AU-9,AU-9,AU-9,,,,,,,,,,AU-9,,,8-602,3.1,,,,,5.4,AU-9,AU-9,AU-9,,,,,,,,,,,,,,,,,,AU-9,AU-9,AU-9,,,,,,,,,,,,,,,,,,,OPS-16,,,,"21.4 21.14 21.16",,,,,,,,,,,,"2-3-1-8 2-11-1-5 2-11-2",,,"2-12-3-5 2-14-3-3",2-3-1-10,,,,,7.3.10 [OP.EXP.10],,,,,C1.b,,,,,,,"Principle 5.16 Principle 7.9",,,"0859 0991 1714 1715 1663 1747 1758 1775 1776 1777 1815",,,,,,,,,,,12.4.2,,,"16.6.13.C.01 16.6.13.C.02 16.6.13.C.03 16.6.13.C.04",,,,,,,,,,,6.21,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Event Log Backup on Separate Physical Systems / Components ,MON-08.1,Mechanisms exist to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Security Incident Event Manager (SIEM) - Splunk",,Does the organization back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool?,5,Detect,,X,X,There is no evidence of a capability to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool.,"SP-CMM1 is N/A, since a structured process is required to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to back up event logs onto a physically different system or system component than the Security Incident Event Manager (SIEM) or similar automated tool.",,,,,,,,,,LOG-09,MON-06,,,CR 3.9 (7.11.3(1)),,,,,,,,,,,,,,,,,,,,,"AU-4(1) AU-9(2)",,,AU-9(2),"AU-4(1) AU-9(2)",,,,AU-9(2),AU-4(1),,AU-4(1),AU-4(1),"AU-4(1) AU-9(2)",,,,,,,,,,,,,,,,A09:2021,,10.3.3,,10.3.3,,,10.3.3,,10.3.3,10.3.3,,M.1.57,,,,,,,,,,,,,,,,,,,,,,,,AU-9(2),,AU-9(2),AU-9(2),,AU-9(2),,,AU-9(2),,,,,,,,,,,,,,,,,,,,,,,AU-9(2),,,,,,,,,,,,,,,,,,,,AU-9(2),,,,,,,,,,,,,,,,,,,,,,,"21.14 21.15 21.17",,,,,,,,,,,,"2-11-1-5 2-11-2",,,,,,,,,,,,,,C1.b,,,,,,,,,,,,,,,,,,,,,,,,"16.6.13.C.01 16.6.13.C.02 16.6.13.C.03 16.6.13.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AM-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,,- Added NIST 800-53 R5 mapping for AU-4(1) Continuous Monitoring,Access by Subset of Privileged Users ,MON-08.2,Mechanisms exist to restrict access to the management of event logs to privileged users with a specific business need.,"- Security Incident Event Manager (SIEM) - Splunk",,Does the organization restrict access to the management of event logs to privileged users with a specific business need?,8,Detect,,X,X,There is no evidence of a capability to restrict access to the management of event logs to privileged users with a specific business need.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • Secure baseline configurations restrict access to event logs from privileged users to protect event logs and audit tools from unauthorized access, modification and deletion.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to the management of event logs to privileged users with a specific business need.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to the management of event logs to privileged users with a specific business need.",,,,,,,,,,LOG-04,"MON-04 MON-05",,,CR 6.1 (10.3.1),,,,,,,,,,,,,,,,,,,,,AU-9(4),,AU-9(4),AU-9(4),AU-9(4),,,AU-9(4),AU-9(4),,,,AU-9(4),AU-9(4),,,,,,,,3.3.9,3.3.8.b,"3.3.9[a] 3.3.9[b]",,,,,,A09:2021,,"10.3 10.3.1 10.3.2",,"10.3.1 10.3.2",,,"10.3.1 10.3.2",,"10.3.1 10.3.2","10.3.1 10.3.2",,U.1.11.2,,,,,,,,,,,AU.L2-3.3.9,AU.L2-3.3.9,,AU.L2-3.3.9,AU.L2-3.3.9,AU-9(4),,,,,,,,AU-9(4),,AU-9(4),AU-9(4),,AU-9(4),,AU-9(4),AU-9(4),,,,,,,,,,,AU-9(4),,,,,,,,,5.4,,,AU-9(4),,,,,,,,,,,,,,,,,,,,AU-9(4),,,,,,,,,,,,,,,,,,,OPS-16,,,,21.14,,,,,,,,,,,,,,,,,,,,,,,,,,C1.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Cryptographic Protection of Event Log Information,MON-08.3,Cryptographic mechanisms exist to protect the integrity of event logs and audit tools. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Are cryptographic mechanisms utilized to protect the integrity of event logs and audit tools? ,5,Protect,,,X,There is no evidence of a capability to Cryptographic protect the integrity of event logs and audit tools. ,"SP-CMM1 is N/A, since a structured process is required to Cryptographic protect the integrity of event logs and audit tools. ","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic protect the integrity of event logs and audit tools. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the integrity of event logs and audit tools. ",,,,,,,,,,"LOG-04 LOG-09",MON-05,,,,,,,,,,,,,,,,,,,,,,,,AU-9(3),,,AU-9(3),AU-9(3),,,,AU-9(3),,,,,AU-9(3),,,,,,,,,3.3.8.a,,,,,,,,,,,,,,,,,,,M.1.59,,,,,,,,,,,,,,,,,,,,,,,,AU-9(3),,,AU-9(3),,AU-9(3),,,AU-9(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C1.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Dual Authorization for Event Log Movement,MON-08.4,Automated mechanisms exist to enforce dual authorization for the movement or deletion of event logs.,,,Does the organization use automated mechanisms to enforce dual authorization for the movement or deletion of event logs?,5,Protect,,X,X,There is no evidence of a capability to enforce dual authorization for the movement or deletion of event logs.,"SP-CMM1 is N/A, since a structured process is required to enforce dual authorization for the movement or deletion of event logs.","SP-CMM2 is N/A, since a well-defined process is required to enforce dual authorization for the movement or deletion of event logs.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce dual authorization for the movement or deletion of event logs.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-9(5),,,,AU-9(5),,,,,AU-9(5),,,,,,,,,,,,,,,,3.1.1e,,,,,,,,,,,,,,,,D.4.3.4,,,,,,,,,,,,TBD - 3.1.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Non-Repudiation,MON-09,Mechanisms exist to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action? ,8,Protect,,,X,There is no evidence of a capability to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. ,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a non-repudiation capability to protect against an individual falsely denying having performed a particular action. ",,,,,,,,,,,,,,"CR 2.12 (6.14.1) CR 2.12 (6.14.3(1))",,,,,,,,,,,,,,,,,,,,,AU-10,,,AU-10,AU-10,,,,AU-10,,,,,AU-10,,AU-10,,,,,AU-10,,,,,,,,,,,,,,,,,,,,,L.24.5.2,,,,,,,TM:SG2.SP2,,,,,,,,,AU-10,,,,,,,,AU-10,,,AU-10,,AU-10,,,AU-10,,,,,,,,,,,,,,8-602,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 26,,,,,,,,,,,,,,21.14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"14.2.1 14.2.2 14.2.3 14.2.4 14.2.5 14.2.6 14.2.7 14.2.8 14.2.9 14.2.10 14.2.11",,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AM-3 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Identity Binding,MON-09.1,Mechanisms exist to bind the identity of the information producer to the information generated.,,,Does the organization bind the identity of the information producer to the information generated?,4,Protect,,X,X,There is no evidence of a capability to bind the identity of the information producer to the information generated.,"SP-CMM1 is N/A, since a structured process is required to bind the identity of the information producer to the information generated.","SP-CMM2 is N/A, since a well-defined process is required to bind the identity of the information producer to the information generated.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to bind the identity of the information producer to the information generated.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to bind the identity of the information producer to the information generated.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"AU-10(1) AU-10(2)",,,,,,,,,,,"AU-10(1) AU-10(2)",,,,"AU-10(1) AU-10(2)",AU-10(2),,,,,,,,,,,,,,,,,,,,,P.5.5.6.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AM-3 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,,,R-AM-3,,,,,,,,,,,,,,,,,,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Event Log Retention,MON-10,"Mechanisms exist to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. ",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),E-AST-11,"Does the organization retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements? ",10,Detect,,X,X,"There is no evidence of a capability to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. ","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to retain event logs for a time period consistent with records retention requirements to provide support for after-the-fact investigations of security incidents and to meet statutory, regulatory and contractual retention requirements. ",C1.2,,,8.10,,8.10,8.10,,,"LOG-04 LOG-09",,,,,,,,,,,,,,,,,,"PS-1.1 TS-1.5",,,,,,,AU-11,AU-11,AU-11,AU-11,AU-11,AU-11,AU-11,AU-11,AU-11,,,AU-11,AU-11,AU-11,,,,,,,,3.3.1,3.3.3.b,"3.3.1[e] 3.3.1[f]",A.03.03.03.b,,,,,A09:2021,10.7,"10.5 10.5.1",,10.5.1,,,10.5.1,,10.5.1,10.5.1,,U.1.11.1,,,,,,,"COMP:SG3.SP1 COMP:SG3.SP2",,"5.4.6 5.4.7",,AU.L2-3.3.1,AU.L2-3.3.1,,AU.L2-3.3.1,AU.L2-3.3.1,AU-11,,,,,,,,AU-11 ,AU-11 ,AU-11 ,AU-11 ,AU-11 ,AU-11,AU-11,AU-11,AU-11,AU-11,,,,,,,,,,AU-11,,,8-602,,,,,,,AU-11 ,AU-11 ,AU-11 ,III.D.3.b,,,,,,,,,,,,,,,,,AU-11,AU-11,AU-11,,,,,,,,,,,,,,,,,,,OPS-14,,,,"21.4 21.15 21.17",,,,,,,,,,,,2-11-2,TPC-75,,"2-12-3-5 2-14-3-3",,,,,,,,,,,C1.b,,,,,,,,,,"0859 0991",,,,,,Article 19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AM-3 R-EX-6 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,,R-EX-6,,R-GV-1,,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Monitoring For Information Disclosure,MON-11,Mechanisms exist to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. ,"- Content filtering solution - Review of social media outlets",,Does the organization monitor for evidence of unauthorized exfiltration or disclosure of non-public information? ,8,Detect,,X,X,There is no evidence of a capability to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. ,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor for evidence of unauthorized exfiltration or disclosure of non-public information. ",,,,,,,,,,,,,,,,,,,,5.7,,,,,,,,,,,,,,,AU-13,,,,AU-13,,,,,AU-13,,,,,,AU-13,,AU-13,,AU-13,AU-13,,3.1.22.b,,,,,,,,,,,,,,,,,,,D.10.8,,,,,,,"IMC:SG2.SP1 KIM:SG4.SP2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-602,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C1.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Analyze Traffic for Covert Exfiltration,MON-11.1,Automated mechanisms exist to analyze network traffic to detect covert data exfiltration.,,,Does the organization use automated mechanisms to analyze network traffic to detect covert data exfiltration?,5,Detect,,X,X,There is no evidence of a capability to analyze network traffic to detect covert data exfiltration.,"SP-CMM1 is N/A, since a structured process is required to analyze network traffic to detect covert data exfiltration.","SP-CMM2 is N/A, since a well-defined process is required to analyze network traffic to detect covert data exfiltration.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(18),,,,SI-4(18),,,,,SI-4(18),,,,,,,,,,,,,,,,3.14.2e,,,,,,11.5.1.1,,,,,,,,11.5.1.1,,D.10.17.1,,,,,,ARCHITECTURE-5.F.MIL2,,,,,,TBD - 3.14.2e,,,,,,,,,,,,SI-4(18),,,SI-4(18),,SI-4(18),,SI-4(18),SI-4(18),,,,,,,,,,,SI-4(18),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-3 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,,,,,,,,,,,,,,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Unauthorized Network Services,MON-11.2,Automated mechanisms exist to detect unauthorized network services and alert incident response personnel. ,,,Does the organization use automated mechanisms to detect unauthorized network services and alert incident response personnel? ,5,Detect,,X,X,There is no evidence of a capability to detect unauthorized network services and alert incident response personnel. ,"SP-CMM1 is N/A, since a structured process is required to detect unauthorized network services and alert incident response personnel. ","SP-CMM2 is N/A, since a well-defined process is required to detect unauthorized network services and alert incident response personnel. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,LOG-13,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(22),,,,SI-4(22),,,,SI-4(22),,,,,SI-4(22),,,,,,,,,,,,3.14.2e,,,,,,,,,,,,,,,,D.10.18,,,,,,,,,,,,TBD - 3.14.2e,,,,,,,,,,,,SI-4(22),,,SI-4(22),,SI-4(22),,,SI-4(22),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C1.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-2 R-AM-3 R-BC-4 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,,,,R-BC-4,,,,,,,,,R-GV-1,,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Monitoring for Indicators of Compromise (IOC),MON-11.3,Automated mechanisms exist to identify and alert on Indicators of Compromise (IoC). ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization use automated mechanisms to identify and alert on Indicators of Compromise (IoC)? ,5,Detect,,X,X,There is no evidence of a capability to identify and alert on Indicators of Compromise (IoC). ,"SP-CMM1 is N/A, since a structured process is required to identify and alert on Indicators of Compromise (IoC). ","SP-CMM2 is N/A, since a well-defined process is required to identify and alert on Indicators of Compromise (IoC). ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","Continuous Monitoring (MON) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Continuous Monitoring (MON) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,"LOG-11 LOG-13","IAM-08 MON-01 MON-09",,,,RQ-08-03,,,,,5.7,,,,,,,,,,,,,,,SI-4(24),,,,SI-4(24),,,,,SI-4(24),,,,,,,,,,,,,"3.14.6.a 3.14.6.a.1 3.14.6.a.2 3.14.6.b 3.14.6.c",,,"3.11.2e 3.11.3e 3.14.6e",,,DE.AE-07,,,,,,,,,,,,,D.10.4,,,,,,"SITUATION-2.D.MIL2 SITUATION-2.E.MIL2 SITUATION-2.F.MIL2 SITUATION-2.G.MIL3 SITUATION-2.H.MIL3 SITUATION-2.I.MIL3 RESPONSE-1.D.MIL3 RESPONSE-1.E.MIL3 RESPONSE-1.F.MIL3",,,,,,"TBD - 3.11.2e TBD - 3.11.3e TBD - 3.14.6e",,,"RA.L3-3.11.2e RA.L3-3.11.3e SI.L3-3.14.6e",,,,,,,,,SI-4(24),,,SI-4(24),,,,,,,,,,,,,,,,SI-4(24),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.5(38) 3.4.5(38)(a) 3.4.5(38)(b) 3.4.5(38)(c)",,,,,,,,,,,,,,5.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"C1.a C2.a",,,,,,,,,,0120,,,,,,,,,,,,,,,,,,,11.3.5,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Continuous Monitoring,Session Audit ,MON-12,"Mechanisms exist to provide session audit capabilities that can: ▪ Capture and log all content related to a user session; and ▪ Remotely view all content related to an established user session in real time.",- NNT Change Tracker (https://www.newnettechnologies.com),,"Does the organization provide session audit capabilities that can: ▪ Capture and log all content related to a user session; and ▪ Remotely view all content related to an established user session in real time?",7,Detect,,X,X,"There is no evidence of a capability to provide session audit capabilities that can: ▪ Capture and log all content related to a user session; and ▪ Remotely view all content related to an established user session in real time.","SP-CMM1 is N/A, since a structured process is required to provide session audit capabilities that can: ▪ Capture and log all content related to a user session; and ▪ Remotely view all content related to an established user session in real time.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide session audit capabilities that can: ▪ Capture and log all content related to a user session; and ▪ Remotely view all content related to an established user session in real time.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide session audit capabilities that can: ▪ Capture and log all content related to a user session; and ▪ Remotely view all content related to an established user session in real time.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-14,,,,AU-14,,,,,AU-14,,,,,,AU-14,,AU-14,,AU-14,AU-14,,,,,,,,,,,,,,,,,,,,,N.27.4,,,,,,,TM:SG2.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-602,,,,,,5.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"21.10 21.18",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Alternate Event Logging Capability ,MON-13,Mechanisms exist to provide an alternate event logging capability in the event of a failure in primary audit capability.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization provide an alternate event logging capability in the event of a failure in primary audit capability?,3,Detect,,X,X,There is no evidence of a capability to provide an alternate event logging capability in the event of a failure in primary audit capability.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide an alternate event logging capability in the event of a failure in primary audit capability.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide an alternate event logging capability in the event of a failure in primary audit capability.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-15,,,,AU-5(5),,,,,AU-5(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.3.4.1,,,,,,,"CTRL:SG2.SP1 TM:SG5.SP1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-602,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,21.15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Cross-Organizational Monitoring ,MON-14,"Mechanisms exist to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data.",,,"Does the organization coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data?",3,Detect,,X,X,"There is no evidence of a capability to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data.","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. • A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data. • the organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data. • The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate sanitized event logs among external organizations to identify anomalous events when event logs are shared across organizational boundaries, without giving away sensitive or critical business data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"AU-16 AU-16(1)",,,,"AU-16 AU-16(1)",,,,,AU-16,,,,,,AU-16,,,,AU-16,AU-16,,,,,,,,,,,,,,,,,,,,,L.1.4,,,,,,,"COMP:SG3.SP1 EXD:SG3.SP4",,,,,,,,,AU-16,,,,,,,,,,,,,,,,,,,,,,,,,,,"AU-16 AU-16(1)",,,8-602,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AM-3 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-SA-1",R-AC-1,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Sharing of Event Logs,MON-14.1,Mechanisms exist to share event logs with third-party organizations based on specific cross-organizational sharing agreements.,- Veris (incident sharing) (http://veriscommunity.net),,Does the organization share event logs with third-party organizations based on specific cross-organizational sharing agreements?,5,Detect,,X,X,There is no evidence of a capability to share event logs with third-party organizations based on specific cross-organizational sharing agreements.,"SP-CMM1 is N/A, since a structured process is required to share event logs with third-party organizations based on specific cross-organizational sharing agreements.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. • A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data. • the organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • A formal agreement exists between the organization and applicable third-parties that includes a Non-Disclosure Agreement (NDA) addressing shared sensitive data. • The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to share event logs with third-party organizations based on specific cross-organizational sharing agreements.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to share event logs with third-party organizations based on specific cross-organizational sharing agreements.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-16(2),,,,AU-16(2),,,,,AU-16(2),,,,,,AU-16(2),,AU-16(2),,AU-16(2),AU-16(2),,,,,,,,,,,,,,,,,,,,,L.1.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-16(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AM-3 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-SA-1",R-AC-1,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Covert Channel Analysis ,MON-15,Mechanisms exist to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels.,,,Does the organization conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels?,3,Detect,,X,X,There is no evidence of a capability to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels.,"SP-CMM1 is N/A, since a structured process is required to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels.","SP-CMM2 is N/A, since a well-defined process is required to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct covert channel analysis to identify aspects of communications that are potential avenues for covert channels.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1041, T1048, T1048.002, T1048.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1567",,,,,,,,SC-31,,,,SC-31,,,,,SC-31,,,,,,,,,,,,,,,,,,,,,,11.5.1.1,,,,,,,,11.5.1.1,,N.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.L.F,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,21.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-1 R-AM-3 R-BC-2 R-BC-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,,R-BC-2,,,R-BC-5,,,,,,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Anomalous Behavior,MON-16,Mechanisms exist to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization detect and respond to anomalous behavior that could indicate account compromise or other malicious activities?,10,Detect,,X,X,There is no evidence of a capability to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. • the organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place.","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. • The organization sets specific parameters on what type of audit information is permitted to be shared and what cannot be shared with third-parties, even with a NDA in place.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities.",CC7.2,"CC7.2-POF2 CC7.2-POF3",,,,,,,,LOG-05,"CLS-08 IAM-08 MON-10 MON-11",,,,,,,,,,,,,,,,,,,,,,,,"AC-2(12) SI-4(11)",,,AC-2(12),"AC-2(12) IR-4(13) SI-4(11)",,,,AC-2(12),"IR-4(13) SI-4(11)",,,,AC-2(12),,,,,,,,,"3.3.5.a 3.14.6.a 3.14.6.a.1 3.14.6.a.2 3.14.6.b 3.14.6.c",,"A.03.14.06.a.01 A.03.14.06.a.02 A.03.14.06.b",3.14.2e,,DE.AE-1,"DE.CM-03 DE.CM-06 DE.CM-09 DE.AE-02",,"10.6 10.6.1 10.6.2","15.1 A3.2.6.1",,,,,,,,,,J.1.3,2.9,,,,,"ACCESS-2.I.MIL3 SITUATION-2.D.MIL2 SITUATION-2.E.MIL2 SITUATION-2.F.MIL2 SITUATION-2.G.MIL3 SITUATION-2.H.MIL3 SITUATION-2.I.MIL3",,,,,,TBD - 3.14.2e,,,,,,,,,,,,"AC-2(12) SI-4(11)",,AC-2(12),"AC-2(12) SI-4(11)",,"AC-2(12) SI-4(11)",,AC-2(12),"AC-2(12) SI-4(11)",,,"D3.DC.Ev.B.1 D4.C.Co.B.4",,,,,,3.M.C,"3.M.C 1.L.C 4.L.B 6.L.B 8.L.D 8.L.E","AC-2(12) SI-4(11)",,,,,,,,,"5.6 5.7",,,AC-2(12),"III.D III.D.2.b",,,,,,,,,,,,Sec 4(2)(b)(ii)(C)(2),,,,,,,AC-2(12),,,§ 2447(c)(4),"3.4.5(38) 3.4.5(38)(a) 3.4.5(38)(b) 3.4.5(38)(c)",,,,,,,,,,,,,,5.5,,,,,"4.7 21.10 21.20",,,,,,,,,,,,,TPC-80,,,2-3-1-12,,,,,,,,,,"C1.a C2.a","C1 C2",,,,,,,,,"1660 1661 1662 1664 1665 1757",,,,,,,,,,,,,,,,,,,"9.2.2 11.5.5 12.2.4",,,,,,,,,3.3.2,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Insider Threats,MON-16.1,Mechanisms exist to monitor internal personnel activity for potential security incidents.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization monitor internal personnel activity for potential security incidents?,8,Detect,,X,X,There is no evidence of a capability to monitor internal personnel activity for potential security incidents.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor internal personnel activity for potential security incidents.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor internal personnel activity for potential security incidents.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DE.CM-3,,,,A3.2.6.1,,,,,,,,,,J.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D3.DC.An.A.3,,,,,,,1.L.C,,,,,,,,,,"5.6 5.7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,21.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1625,,,,,,,,,,,,,,,,,,,3.5.2,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Third-Party Threats,MON-16.2,Mechanisms exist to monitor third-party personnel activity for potential security incidents.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization monitor third-party personnel activity for potential security incidents?,8,Detect,,X,X,There is no evidence of a capability to monitor third-party personnel activity for potential security incidents.,"Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor third-party personnel activity for potential security incidents.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor third-party personnel activity for potential security incidents.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DE.CM-6,,,,,,,,,,,,,,J.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D4.RM.Om.Int.1,,,,,,,1.L.C,,,,,,,,,,5.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,21.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Unauthorized Activities,MON-16.3,"Mechanisms exist to monitor for unauthorized activities, accounts, connections, devices and software.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization monitor for unauthorized activities, accounts, connections, devices and software?",8,Detect,,X,X,"There is no evidence of a capability to monitor for unauthorized activities, accounts, connections, devices and software.","Continuous Monitoring (MON) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Generating event logs and the review of event logs is narrowly-focused to business-critical systems and/ or systems that store, processes and/ or transmit sensitive/regulated data. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor for unauthorized activities, accounts, connections, devices and software.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor for unauthorized activities, accounts, connections, devices and software.",,,,2.3,2.3,2.3,2.3,,,"LOG-11 LOG-13",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A.03.14.06.a.02,,,DE.CM-7,,,,A3.2.6.1,,,,,,,,,,J.3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D3.DC.Ev.B.3,,,,,,,"1.L.A 6.L.B 6.L.D 9.L.B",,,,,,,,,,5.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,21.10,,,,,,,,,,,,,,,,"2-3-1-11 2-3-1-12",,,,,,,,,,C1.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Continuous Monitoring,Account Creation and Modification Logging,MON-16.4,Automated mechanisms exist to generate event logs for permissions changes to privileged accounts and/or groups.,,,Does the organization use automated mechanisms to generate event logs for permissions changes to privileged accounts and/or groups?,7,Detect,,,X,There is no evidence of a capability to generate event logs for permissions changes to privileged accounts and/ or groups.,"SP-CMM1 is N/A, since a structured process is required to generate event logs for permissions changes to privileged accounts and/ or groups.","Continuous Monitoring (MON) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Situational awareness management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Secure baseline configurations generate logs that contain sufficient information to establish necessary details of activity and allow for forensics analysis. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for situational awareness management. o Configure alerts for critical or sensitive data that is stored, transmitted and processed on assets. o Use a structured process to review and analyze logs. • A log aggregator, or similar automated tool, provides an event log report generation capability to aid in detecting and assessing anomalous activities on business-critical systems. ","Continuous Monitoring (MON) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function: o Governs asset management that ensures compliance with requirements for asset management. o Leverages a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets. • A Security Incident Event Manager (SIEM), or similar automated tool: o Centrally collects logs and is protected according to the manufacturer’s security guidelines to protect the integrity of the event logs with cryptographic mechanisms. o Monitors the organization for Indicators of Compromise (IoC) and provides 24x7x365 near real-time alerting capability. o Is configured to alert incident response personnel of detected suspicious events such that incident responders can look to terminate suspicious events. • Both inbound and outbound network traffic is monitored for unauthorized activities to identify prohibited activities and assist incident handlers with identifying potentially compromised systems. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate event logs for permissions changes to privileged accounts and/ or groups.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate event logs for permissions changes to privileged accounts and/ or groups.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1650 1651 1652",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Cryptographic Protections ,Use of Cryptographic Controls ,CRY-01,Mechanisms exist to facilitate the implementation of cryptographic protections controls using known public standards and trusted cryptographic technologies.,"- Key and certificate management solutions - Microsoft BitLocker (https://www.microsoft.com/en-us/download/details.aspx?id=53006) - Symantec Endpoint Encryption (https://www.symantec.com/products/endpoint-protection) - Vormetric Transparent Encryption (https://www.thalesesecurity.com/products/data-encryption/vormetric-transparent-encryption)",,Does the organization facilitate the implementation of cryptographic protections controls using known public standards and trusted cryptographic technologies?,10,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of cryptographic protections controls using known public standards and trusted cryptographic technologies.,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for cryptographic protections. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures for cryptographic protections. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data using cryptographic protections. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including cryptographic protections. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols.","Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of cryptographic protections controls using known public standards and trusted cryptographic technologies.",CC6.1,CC6.1-POF9,,"3.6 3.9 3.10",3.6,"3.6 3.9 3.10","3.6 3.9 3.10",,,"CEK-01 CEK-02 CEK-03 CEK-04 DSP-10 LOG-10 LOG-11","CLS-01 IAM-12 IOT-10 SAP-07 SWS-08",,,"CR 4.1 (8.3.1(a)) CR 4.3 (8.5.1)",,,,,"10.1.1 14.1.2","8.24 8.26","10.1.1 14.1.2",,"6.7 6.7.1 6.7.1.1",,,,"T1005, T1025, T1041, T1048.003","TS-1.0 TS-1.9 TS-1.15 TS-3.0",Sec 4(D)(2)(d),,"PR.DS-P1 PR.DS-P2",,,,"SC-8(1) SC-8(2) SC-13 SC-13(1) SI-7(6)",SC-13,"SC-8(1) SC-13","SC-8(1) SC-13","SC-8(1) SC-8(2) SC-13 SI-7(6)",,SC-13,"SC-8(1) SC-13","SC-8(1) SC-13","SC-8(2) SI-7(6)",,SC-13,"SC-8(1) SC-13","SC-8(1) SC-13",,,,,,,,3.13.11,"3.13.8 3.13.11","3.13.8[a] 3.13.11","A.03.13.11 A.03.13.11.ODP[01]",3.14.1e,,"PR.DS-1 PR.DS-2","PR.DS-01 PR.DS-02",A02:2021,"2.2.3 4.1","3.3.2 8.3.2 12.3.3",,8.3.2,,,8.3.2,,"3.3.2 8.3.2 12.3.3","3.3.2 8.3.2 12.3.3",,"I.3.6.1 ","2.1 2.4A 2.6 5.2","5.1 5.1.1 5.1.2",10.3,7.3.8,7.3.8,"ARCHITECTURE-5.B.MIL2 ARCHITECTURE-5.C.MIL2 ARCHITECTURE-5.D.MIL2 ARCHITECTURE-5.G.MIL3",KIM:SG4.SP1,"3.3 3.4","5.10.1.2 5.10.1.2.1",,SC.L2-3.13.11,"SC.L2-3.13.11 TBD - 3.14.1e",,SC.L2-3.13.11,"SC.L2-3.13.11 SI.L3-3.14.1e","SC-8(2) SC-13",,,,,,,"§ 11.10 § 11.10(c)","SC-8(1) SC-13 ",SC-13 ,"SC-8(1) SC-13 ","SC-8(1) SC-13 ",SC-13 ,"SC-8(1) SC-13","SC-8(1) SC-13","SC-8(1) SC-13","SC-8(1) SC-13","SC-8(1) SC-13",,,,,314.4(c)(3),164.312(a)(2)(iv),,"1.M.C 2.M.A 4.M.C 9.M.B","1.M.C 2.M.A 4.M.C 9.M.B 1.L.A 1.L.B","2.E.3 SC-13",120.54(a)(5),,9-400,"18.1 18.2 18.3 19.1 19.2 19.3",,,,,5.8,SC-13 ,SC-13 ,SC-13 ,,,,,,,,,,,,500.15,,,38-99-20(D)(2)(d),,,SC-13,,SC-13,,,"§ 2447(c)(3) § 2447(c)(5)",3.4.4(36)(f),,Art 5,"Art 5.1 Art 32.1 Art 32.2",Article 21.2(h),"Art 20 Art 30",,"Sec 14 Sec 15",Art 16,,,,,,,CRY-01,,,,"8.1 8.8 15.7 21.16",,,,,,,,,,,,"2-7 2-7-1-3","TPC-52 TPC-54",3.3.9,"2-8-1 2-8-2 2-8-3 2-8-3-1 2-8-4","2-2-1-4 2-7 2-7-1 2-7-2",,,"Sec 14.1 Sec 19.1 Sec 19.2",,"8.4.2 [MP.COM.2] 8.4.3 [MP.COM.3] 8.5.2 [MP.SI.2] 8.7.3 [MP.INFO.3] 8.7.4 [MP.INFO.4]",,,,,"B3.b B3.c",,,,,,,,,,"0457 0460 0471 0994 0472 0473 1146 0474 0475 0476 0477 0479 0481 0501 0142 1091 0499 1759 1629 1630 1760 1446 1761 1762 1763 1764 1765 1766 1767 1768 1769 1770 1771 1772",,,,,,,,,,,"10.1.1 10.1.1.9.PB 14.1.2",,15.1,"8.4.13.C.01 17.1.52.C.01 17.1.52.C.02 17.1.53.C.01 17.1.53.C.02 17.1.53.C.03 17.1.53.C.04 17.1.54.C.01 17.1.55.C.01 17.1.55.C.02 17.1.55.C.03 17.1.55.C.04 17.1.56.C.01 17.1.56.C.02 17.1.57.C.01 17.2.17.C.01 17.2.18.C.01 17.2.19.C.01 17.2.20.C.01 17.2.20.C.02 17.2.21.C.01 17.2.22.C.01 17.2.22.C.02 17.2.23.C.01 17.2.24.C.01 17.2.24.C.02 17.2.24.C.03 17.2.25.C.01 17.2.26.C.01 17.2.26.C.02 17.2.26.C.03 17.2.27.C.01 17.2.27.C.02 17.2.27.C.03 17.2.28.C.01 17.3.6.C.01 17.4.16.C.01 17.4.16.C.02 17.5.6.C.01 17.6.6.C.01 17.6.7.C.01 17.7.6.C.01 17.8.10.C.01 17.8.10.C.02 17.8.11.C.01 17.8.12.C.01 17.8.13.C.01 17.8.14.C.01 17.8.15.C.01 17.8.16.C.01 17.8.17.C.01 17.9.24.C.01 17.9.24.C.02 17.9.24.C.03 17.9.25.C.01 17.9.26.C.01 17.9.26.C.02 17.9.27.C.01 17.9.27.C.02 17.9.27.C.03 17.9.28.C.01 17.9.29.C.01 17.9.30.C.01 17.9.30.C.02 17.9.31.C.01 17.9.32.C.01 17.9.32.C.02 17.9.32.C.03",,,,,"10.1.1 10.1.2 10.1.3 10.1.4 10.1.5",,,,,,6.22,,,3.2.2,,,,,,,,,,,x,"NAIC Lockton",x,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Cryptographic Protections ,Alternate Physical Protection ,CRY-01.1,Cryptographic mechanisms exist to prevent unauthorized disclosure of information as an alternative to physical safeguards. ,,,Are cryptographic mechanisms utilized to prevent unauthorized disclosure of information as an alternative to physical safeguards? ,5,Protect,,X,,There is no evidence of a capability to Cryptographic prevent unauthorized disclosure of information as an alternative to physical safeguards. ,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic prevent unauthorized disclosure of information as an alternative to physical safeguards. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic prevent unauthorized disclosure of information as an alternative to physical safeguards. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-8(1),,SC-8(1),SC-8(1),SC-8(1),,,SC-8(1),SC-8(1),,,,SC-8(1),SC-8(1),,,,,,,,3.13.8,3.13.8,"3.13.8[b] 3.13.8[c]",,,,,,,,,,,,,,,,,,"I.3.6.1 ",,,,,,ARCHITECTURE-5.G.MIL3,,,,,SC.L2-3.13.8,SC.L2-3.13.8,,SC.L2-3.13.8,SC.L2-3.13.8,SC-8(1),,,,,,,,SC-8(1) ,,SC-8(1) ,SC-8(1) ,,SC-8(1),SC-8(1),SC-8(1),SC-8(1),SC-8(1),,,,,,,,"2.M.A 4.M.C 5.M.C","2.M.A 4.M.C 5.M.C",,,,,,,,,,,,,SC-8(1) ,,,,,,,,,,17.04(3),,,,622(2)(d)(C)(iii),,,,,,SC-8(1),,,,,,,,,,,,,,,,,,,,,,,15.7,,,,,,,,,,,,,,,,,,,,,,,,,,"B3.b B3.c",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MA 201 CMR 17 OR 6464A",,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Export-Controlled Technology,CRY-01.2,Mechanisms exist to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements.,,,Does the organization address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements?,5,Protect,,X,,There is no evidence of a capability to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements.,"SP-CMM1 is N/A, since a structured process is required to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • Systems, applications and services that include cryptographic mechanisms are controlled to ensure the exporting of cryptographic technologies is in compliance with relevant statutory and regulatory requirements.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address the exporting of cryptographic technologies in compliance with relevant statutory and regulatory requirements.",,,,,,,,,,,,,,,,,,,18.1.5,5.31,18.1.5,,6.15.1.5,,,,,,,,,,,,SC-13,SC-13,SC-13,SC-13,SC-13,,SC-13,SC-13,SC-13,,,SC-13,SC-13,SC-13,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.6.2,,,,,,,KIM:SG4.SP1,,,,,,,,,SC-13,,,,,,,,SC-13 ,SC-13 ,SC-13 ,SC-13 ,SC-13 ,SC-13,SC-13,SC-13,SC-13,SC-13,,,,,,,,,,SC-13,120.54(a)(5),,9-400,,,,,,,SC-13 ,SC-13 ,SC-13 ,,,,,,,,,,,,,,,,,,SC-13,,SC-13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.1.5 18.1.5.7.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-EX-5",,,,,,,R-AM-3,,,,,,,,,,R-EX-5,,,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Pre/Post Transmission Handling,CRY-01.3,Cryptographic mechanisms exist to ensure the confidentiality and integrity of information during preparation for transmission and during reception.,,,Are cryptographic mechanisms utilized to ensure the confidentiality and integrity of information during preparation for transmission and during reception?,5,Protect,,,X,There is no evidence of a capability to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception.,"SP-CMM1 is N/A, since a structured process is required to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic ensure the confidentiality and integrity of information during preparation for transmission and during reception.",,,,,,,,,,,"COM-07 COM-08 COM-09",,,,,,,,,,,,,,,,,,,,,,,,SC-8(2),,,,SC-8(2),,,,,SC-8(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.6,,,,,,,,,,,,,,,,SC-8(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0548,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,,,,,,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Conceal / Randomize Communications,CRY-01.4,Cryptographic mechanisms exist to conceal or randomize communication patterns.,,,Are cryptographic mechanisms utilized to conceal or randomize communication patterns?,5,Protect,,,X,There is no evidence of a capability to Cryptographic conceal or randomize communication patterns.,"SP-CMM1 is N/A, since a structured process is required to Cryptographic conceal or randomize communication patterns.","SP-CMM2 is N/A, since a well-defined process is required to Cryptographic conceal or randomize communication patterns.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic conceal or randomize communication patterns.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic conceal or randomize communication patterns.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-8(4),,,,SC-8(4),,,,,SC-8(4),,,,,,,,,,,,,,,,3.13.3e,,,,,,,,,,,,,,,,D.13.1,,,,,,,,,,,,TBD - 3.13.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-GV-1 R-GV-4 R-GV-5",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,,,,,,,,R-GV-1,,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Cryptographic Cipher Suites and Protocols Inventory,CRY-01.5,"Mechanisms exist to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols.",,,"Does the organization identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols?",9,Protect,X,X,X,"There is no evidence of a capability to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols.","SP-CMM1 is N/A, since a structured process is required to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • IT/cybersecurity personnel perform an annual review of deployed cryptographic cipher suites and protocols to identify and replace weak cryptographic cipher suites and protocols.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, document and review deployed cryptographic cipher suites and protocols to proactively respond to industry trends regarding the continued viability of utilized cryptographic cipher suites and protocols.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.3.3,,,,,,,12.3.3,12.3.3,,I.3.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-7-1-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-GV-1",R-AC-1,,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,R-GV-1,,,,,,,,,,,,,,"MT-8 MT-9 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Cryptographic Module Authentication,CRY-02,Automated mechanisms exist to enable systems to authenticate to a cryptographic module.,- Yubico (https://www.yubico.com),,Does the organization use automated mechanisms to enable systems to authenticate to a cryptographic module?,8,Protect,,,X,There is no evidence of a capability to enable systems to authenticate to a cryptographic module.,"SP-CMM1 is N/A, since a structured process is required to enable systems to authenticate to a cryptographic module.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable systems to authenticate to a cryptographic module.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable systems to authenticate to a cryptographic module.",,,,,,,,,,CEK-04,IAM-22,,,,,,,,,,,,,,,,"T1195.003, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1553, T1553.006, T1601, T1601.001, T1601.002",,,,,,,,IA-7,IA-7,IA-7,IA-7,IA-7,,IA-7,IA-7,IA-7,,,IA-7,IA-7,IA-7,,,,,,,,,,,,,,,,,8.2.1,"2.2.7 3.6.1.1 3.6.1.2 3.7.3",,2.2.7,,2.2.7,2.2.7,2.2.7,"2.2.7 3.6.1.2 3.7.3","2.2.7 3.6.1.1 3.6.1.2 3.7.3",,D.13.5.2,,,,,,,TM:SG4.SP1,,,,,,,,,IA-7,,,,,,,,IA-7,IA-7,IA-7,IA-7,,IA-7,IA-7,IA-7,IA-7,,,,,,,,,,,IA-7,120.54(a)(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-7,IA-7,IA-7,,,,,,,,,,,,,,,,,,,,,,,"4.37 12.10",,,,,,,,,,,,,,,2-8-3-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,,, Cryptographic Protections ,Transmission Confidentiality ,CRY-03,Cryptographic mechanisms exist to protect the confidentiality of data being transmitted. ,"- SSL / TLS protocols - IPSEC Tunnels - Native MPLS encrypted tunnel configurations - Custom encrypted payloads",E-CRY-01,Are cryptographic mechanisms utilized to protect the confidentiality of data being transmitted? ,10,Protect,,X,X,There is no evidence of a capability to Cryptographic protect the confidentiality of data being transmitted. ,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption. • IT personnel use an informal process to design, build and maintain secure configurations for the test, development, staging and production environments, implementing cryptographic protections controls using known public standards and trusted cryptographic technologies to protect the confidentiality and integrity of the data.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • Network communications containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption. • Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted. • Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). • Network communications containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption.","Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality of data being transmitted. ","CC6.1 CC6.7","CC6.1-POF9 CC6.7-POF2",,3.10,,3.10,3.10,,,"CEK-03 DSP-10","COM-07 COM-08 COM-09 IOT-10 SAP-07",,8.2.5,CR 4.1 (8.3.1(a)),,,,,"10.1.1 13.2.3 14.1.2 14.1.3 ","5.14 8.24 8.26","10.1.1 13.2.3 14.1.2 14.1.3 ",,6.10.2.3,,,,"T1020.001, T1040, T1090, T1090.004, T1550.001, T1550.004, T1552.007, T1557, T1557.001, T1557.002, T1562.006, T1562.009, T1602, T1602.001, T1602.002","TS-1.9 TS-1.15 TS-3.0",Sec 4(D)(2)(d),,PR.DS-P2,,,,"SC-8 SC-8(1)",,SC-8,SC-8,"SC-8 SC-8(1)",,,SC-8,SC-8,SC-8(1),,,SC-8,SC-8,,SC-8,,SC-8,,SC-8,SC-8,3.13.8,"3.13.8 3.13.11","3.13.8[a] 3.13.11",A.03.13.08[01],,,PR.DS-2,"PR.AA-04 PR.DS-02",,,"4.2.1.2 8.3.2 A2.1 A2.1.1 A2.1.2",,8.3.2,,A2.1.1,"4.2.1.2 8.3.2 A2.1.1",4.2.1.2,"4.2.1.2 8.3.2 A2.1.1","4.2.1.2 8.3.2 A2.1.1 A2.1.2",,D.5.3,"2.1 2.4A 2.6","5.1.1 5.1.2",,,,ARCHITECTURE-5.C.MIL2,"KIM:SG4.SP1 KIM:SG5.SP3 SC:SG2.SP2 SC:SG2.SP3","3.3 3.4 8.3","5.10.1.2 5.10.1.2.1",,SC.L2-3.13.8,,,SC.L2-3.13.8,SC.L2-3.13.8,SC-8,,,,,,,"§ 11.10 § 11.10(c)",SC-8,,SC-8,SC-8,,SC-8,SC-8,SC-8,SC-8,SC-8,,"D3.PC.Am.B.13 D3.PC.Am.E.5 D3.PC.Am.Int.7",,,,"164.312(a)(2)(iv) 164.312(e) 164.312(e)(1) 164.312(e)(2)(ii)","1.S.A 2.S.A","1.M.A 1.M.C 4.M.C","1.M.A 1.M.C 4.M.C 1.L.A","2.E.3 SC-8 SC-8(1)",120.54(a)(5),,8-605,"18.1 19.1",,,,,5.8,,SC-8,SC-8,,,,,,,,,,17.04(3),,500.15,,622(2)(d)(C)(iii),38-99-20(D)(2)(d),,,SC-8,,SC-8,,,§ 2447(c)(3),3.4.4(36)(f),,Art 5,Art 5.1,,"Art 20 Art 30",,,,,,,,,,CRY-02,,,,"4.22 8.4 8.5 8.6 9.8 9.20 12.10 13.6",,,,,,,,,,,,"2-3-1-5 2-7-1-1","TPC-52 TPC-53",,2-8-3-3,2-2-1-4,,,Sec 14.1,,,,,,,B3.b,,,,,,,,,,"0231 0232 0547 0465 0467 0469 1139 1369 1370 1372 1448 1373 1374 1375 1553 1453 1506 0484 1781",,,,,,,,,,,"10.1.1 10.1.1.9.PB 13.2.3 14.1.2 14.1.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"NAIC MA 201 CMR 17 OR 6464A Lockton 9",x,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Transmission Integrity ,CRY-04,Cryptographic mechanisms exist to protect the integrity of data being transmitted. ,,E-CRY-01,Are cryptographic mechanisms utilized to protect the integrity of data being transmitted? ,10,Protect,,X,X,There is no evidence of a capability to Cryptographic protect the integrity of data being transmitted. ,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption. • IT personnel use an informal process to design, build and maintain secure configurations for the test, development, staging and production environments, implementing cryptographic protections controls using known public standards and trusted cryptographic technologies to protect the confidentiality and integrity of the data.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the integrity of data being transmitted. ",,,,,,,,,,,SAP-07,,,"CR 3.1 (7.3.1) CR 3.1 (7.3.3(1))",,,,,"10.1.1 14.1.3 ","8.24 8.26","10.1.1 14.1.3 ",,6.11.1.3,,,,"T1020.001, T1040, T1090, T1090.004, T1550.001, T1550.004, T1552.007, T1557, T1557.001, T1557.002, T1562.006, T1562.009, T1602, T1602.001, T1602.002",,,,"PR.AC-P5 PR.DS-P6",,,,"SC-8 SC-16(1) SC-28(1)",,SC-8,SC-8,"SC-8 SC-16(1) SC-28(1)",,,"SC-8 SC-28(1)","SC-8 SC-28(1)",SC-16(1),,,"SC-8 SC-28(1)","SC-8 SC-28(1)",,SC-8,,SC-8,,SC-8,SC-8,NFO - SI-1,,,,,,PR.DS-8,,,"3.4 3.4.1 4.1 9.8.2",3.7.5,,,,,,,3.7.5,3.7.5,,D.5.2,"2.1 2.4A 2.6","5.1.1 5.1.2",,,,,"KIM:SG4.SP1 KIM:SG5.SP3 SC:SG2.SP2 SC:SG2.SP3",3.3,,,,,,,,SC-8,,,,,,,"§ 11.10 § 11.10(c)","MP-5(4) SC-8 SC-28(1) ",,"SC-8 SC-28(1)","SC-8 SC-28(1)",,"SC-8 SC-28(1)",,"SC-8 SC-28(1)","SC-8 SC-28(1)",,,,,,,"164.312(c) 164.312(c)(1) 164.312(c)(2) 164.312(e)(2)(i)",,,,"SC-8 SC-28(1)",,,8-605,,,,,,5.9,,SC-8,"SC-8 SC-28(1)",,,,,,,,,,17.04(3),,,,622(2)(d)(C)(iii),,,,SC-8,,"SC-8 SC-28(1)",,,,,,,Art 5.1,,"Art 20 Art 30",,,,,,,,,,OPS-09,,,,"4.22 9.8 9.20 12.10 13.6",,,,,,,,,,,,,,,,2-2-1-4,,,Sec 14.1,,,,,,,,,,,,,,,,,0677,,,,,,,,,,,"10.1.1 10.1.1.9.PB 14.1.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",x,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Encrypting Data At Rest ,CRY-05,Cryptographic mechanisms exist to prevent unauthorized disclosure of data at rest. ,- Symantec Endpoint Encryption (https://www.symantec.com/products/endpoint-protection),,Are cryptographic mechanisms utilized to prevent unauthorized disclosure of data at rest? ,10,Protect,,X,X,There is no evidence of a capability to Cryptographic prevent unauthorized disclosure of data at rest. ,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption. • Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). • IT personnel use an informal process to design, build and maintain secure configurations for the test, development, staging and production environments, implementing cryptographic protections controls using known public standards and trusted cryptographic technologies to protect the confidentiality and integrity of the data.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). ","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). ","Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic prevent unauthorized disclosure of data at rest. ","CC6.1 CC6.7","CC6.1-POF9 CC6.7-POF2",,"3.6 3.11",3.6,"3.6 3.11","3.6 3.11",,,"CEK-03 UEM-08",DAT-04,,,CR 4.1 (8.3.1(a)),,,,,10.1.1,8.24,10.1.1,,"6.7 6.7.1 6.7.1.1",,,,,"TS-1.15 TS-3.0",Sec 4(D)(2)(d),,PR.DS-P1,,,,"SC-13 SC-28 SC-28(1)",SC-13,"SC-13 SC-28","SC-13 SC-28","SC-13 SC-28 SC-28(1)",,SC-13,"SC-13 SC-28","SC-13 SC-28",,,SC-13,"SC-13 SC-28","SC-13 SC-28",,,,,,,,3.8.6,"3.13.8 3.13.11",3.8.6,A.03.13.08[02],3.14.5e,,PR.DS-1,PR.DS-01,,"3.4 3.4.1","3.3.2 3.5.1.2 3.5.1.3 8.3.2",,8.3.2,,,8.3.2,,"3.3.2 3.5.1.2 3.5.1.3 8.3.2","3.3.2 3.5.1.2 3.5.1.3 8.3.2",,D.24,,,,,,"ARCHITECTURE-5.B.MIL2 ARCHITECTURE-5.G.MIL3",KIM:SG4.SP1,"3.3 3.4 8.3","5.10.1.2 5.10.1.2.2",,MP.L2-3.8.6,"MP.L2-3.8.6 TBD - 3.14.5e",,MP.L2-3.8.6,MP.L2-3.8.6,SC-13,,,,,,,"§ 11.10 § 11.10(c)",SC-13 ,SC-13 ,SC-13 ,SC-13 ,SC-13 ,"SC-13 SC-28(1)","SC-13 SC-28(1)","SC-13 SC-28(1)","SC-13 SC-28(1)","SC-13 SC-28(1)",,"D1.G.IT.B.13 D3.PC.Am.B.14 D4.RM.Co.B.1 D3.PC.Am.A.1",,,,164.312(a)(2)(iv),2.S.A,"2.M.A 4.M.C 9.M.B","2.M.A 4.M.C 9.M.B","2.E.3 SC-13",120.54(a)(5),,9-400,"18.2 19.2",,,,,5.9,SC-13 ,SC-13 ,SC-13 ,,,,,,,,,,17.04(5),,500.15,,622(2)(d)(C)(iii),38-99-20(D)(2)(d),,,SC-13,,SC-13,,,§ 2447(c)(5),3.4.4(36)(f),,,Art 5.1,,,,,,,,,,,,CRY-03,,,,"8.7 15.7",,,,,,,,,,,,2-7-1-2,,,2-8-3-3,,,,Sec 14.1,,,,,,,B3.c,,,,,,,,,,"0459 1080",,,,,,,,,,,"10.1.1 10.1.1.9.PB",,,8.4.13.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,"NAIC MA 201 CMR 17 OR 6464A Lockton 9",x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,,- Updated CIS 8.0 Cryptographic Protections ,Storage Media,CRY-05.1,Cryptographic mechanisms exist to protect the confidentiality and integrity of sensitive/regulated data residing on storage media.,"- Native Storage Area Network (SAN) encryption functionality - BitLocker and EFS",,Are cryptographic mechanisms utilized to protect the confidentiality and integrity of sensitive/regulated data residing on storage media?,8,Protect,,X,X,There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of sensitive/regulated data residing on storage media.,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption. • Mobile devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., whole drive encryption). ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of sensitive/regulated data residing on storage media.",,,,3.6,3.6,3.6,3.6,,,UEM-08,,,,,,,,,,,,,,,,,,,,,PR.DS-P1,,,,,,,,,,,,,,,,,,,,,,,,,,3.13.8,,,,,,,,,,,,,,,,,,,D.6.1,,,,,,ARCHITECTURE-5.G.MIL3,,,"4.2.4 5.8.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.M.A,2.M.A,,,,,"18.3 19.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CRY-03,,,,15.7,,,,,,,,,,,,,,,,"2-3-1-8 2-3-1-9",,,,,,,,,,B3.c,,,,,,,,,,,,,,,,,,,,,,,,8.4.13.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Offline Storage,CRY-05.2,Mechanisms exist to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements.,,,Does the organization remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements?,5,Protect,,X,X,There is no evidence of a capability to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements.,"SP-CMM1 is N/A, since a structured process is required to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements.","SP-CMM2 is N/A, since a well-defined process is required to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to remove unused data from online storage and archive it off-line in a secure location until it can be disposed of according to data retention requirements.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.DS-P1,,,,SC-28(2),,,,SC-28(2),,,,,SC-28(2),,,,,,,,,,,,,,,,3.14.5e,,,,,,,,,,,,,,,,D.4.1,,,,,,,,,4.2.4,,,TBD - 3.14.5e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Database Encryption,CRY-05.3,Mechanisms exist to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases.,,,Does the organization ensure that database servers utilize encryption to protect the confidentiality of the data within the databases?,8,Protect,,,X,There is no evidence of a capability to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases.,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption. • Databases containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information in the database (e.g., column-level, Transparent Data Encryption (TDE), etc.). ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • Databases containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information in the database (e.g., column-level, Transparent Data Encryption (TDE), etc.). ","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • Databases containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information in the database (e.g., column-level, Transparent Data Encryption (TDE), etc.). ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that database servers utilize encryption to protect the confidentiality of the data within the databases.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1080,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Non-Console Administrative Access,CRY-06,Cryptographic mechanisms exist to protect the confidentiality and integrity of non-console administrative access.,,,Are cryptographic mechanisms utilized to protect the confidentiality and integrity of non-console administrative access?,9,Protect,,,X,There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of non-console administrative access.,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • Instances of non-console administrative access use cryptographic mechanisms to protect the confidentiality and integrity of the data being transmitted.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic protect the confidentiality and integrity of non-console administrative access.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of non-console administrative access.",,,,"4.6 12.3",4.6,"4.6 12.3","4.6 12.3",,,,,,,,,,,,,,,,,,,,,,,,PR.DS-P2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.3,2.2.7,,2.2.7,,2.2.7,2.2.7,2.2.7,2.2.7,2.2.7,,I.3.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Wireless Access Authentication & Encryption ,CRY-07,Mechanisms exist to protect wireless access via secure authentication and encryption.,,,Does the organization protect wireless access via secure authentication and encryption?,9,Protect,X,X,X,There is no evidence of a capability to protect wireless access via secure authentication and encryption.,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","Cryptographic Protections (CRY) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect wireless access via secure authentication and encryption.",,,,,,,,,,,"SWS-07 SWS-08 SWS-11",,,CR 1.6 (5.8),,,,,,,,,,,,,"T1011, T1011.001, T1020.001, T1040, T1070, T1070.001, T1070.002, T1119, T1530, T1552, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002",TS-2.11,,,,,,,"AC-18 SC-40",AC-18,AC-18,AC-18,"AC-18 SC-40",,AC-18,AC-18,AC-18,SC-40,,AC-18,AC-18,AC-18,,AC-18,AC-18,,AC-18,AC-18,AC-18,,3.1.16.a,,,,,,,,4.1.1,"2.3.1 2.3.2 4.2.1.2",,,,"2.3.1 2.3.2","2.3.1 2.3.2 4.2.1.2","2.3.1 2.3.2 4.2.1.2","2.3.1 2.3.2 4.2.1.2","2.3.1 2.3.2 4.2.1.2",,N.8.1,,,,,,,"EC:SG2.SP2 TM:SG4.SP1 TM:SG2.SP2",,,,,,,,,AC-18,,,,,,,,AC-18,AC-18,AC-18,AC-18,AC-18,AC-18,AC-18,AC-18,AC-18,AC-18,,,,,,,,,,AC-18,,,8-311,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-18,,,,,,,,,,,,,,,,,,,,,,,,,4.22,,,,,,,,,,,,,TPC-42,,2-5-3-4,,,,,,,,,,,,,,,,,,,,,"1314 1332",,,,,,,,,,,,,,"18.2.9.C.01 18.2.10.C.01 18.2.10.C.02 18.2.11.C.01 18.2.11.C.02 18.2.11.C.03 18.2.11.C.04 18.2.11.C.05 18.2.12.C.01 18.2.12.C.02 18.2.13.C.01 18.2.14.C.01 18.2.15.C.01 18.2.16.C.01 18.2.17.C.01 18.2.18.C.01 18.2.19.C.01 18.2.20.C.01 18.2.20.C.02 18.2.20.C.03 18.2.21.C.01 18.2.22.C.01 18.2.23.C.01 18.2.23.C.02 18.2.24.C.01 18.2.25.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,,MT-13,MT-14,MT-15,, Cryptographic Protections ,Public Key Infrastructure (PKI) ,CRY-08,Mechanisms exist to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. ,"- Microsoft Active Directory (AD) Certificate Services - Digitcert (https://www.digicert.com) - Entrust (https://www.entrust.com) - Comodo (https://www.comodo.com) - Vault (https://www.vaultproject.io/)",,Does the organization securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider? ,9,Protect,X,X,X,There is no evidence of a capability to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. ,"Cryptographic Protections (CRY) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Network communications containing sensitive/regulated data are protected using a cryptographic mechanism to prevent unauthorized disclosure of information while in transit (e.g., SSH, TLS, VPN, etc.). • Wireless access is protected via secure authentication and encryption.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. • The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • An IT infrastructure team, or similar function, enables: o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely implement an internal Public Key Infrastructure (PKI) infrastructure or obtain PKI services from a reputable PKI service provider. ",CC6.1,CC6.1-POF10,,,,,,,,"CEK-02 CEK-08 LOG-10 LOG-11","CLS-01 IAM-10 IAM-11 IAM-12 IAM-13 IAM-14 IAM-15 IAM-22 IOT-09 SDV-01",,,"CR 1.8 (5.10.1) CR 1.9 (5.11.1)",,,,,,,,,,,,,"T1072, T1606",,,,,,,,"SC-12 SC-12(4) SC-12(5) SC-17",SC-12,"SC-12 SC-17","SC-12 SC-17","SC-12 SC-17",,SC-12,"SC-12 SC-17","SC-12 SC-17",,,SC-12,"SC-12 SC-17","SC-12 SC-17",,,,,,,,3.13.10,3.13.10,"3.13.10[a] 3.13.10[b]",,,,,,,,,,,,,,,,,,D.13.5,,,,,,,KIM:SG4.SP1,,5.10.1.2.3,,SC.L2-3.13.10,SC.L2-3.13.10,,SC.L2-3.13.10,SC.L2-3.13.10,"SC-12 SC-17",,,,,,,"§ 11.2 § 11.2(a) § 11.100","SC-12 SC-17 ",SC-12,"SC-12 SC-17 ","SC-12 SC-17 ",SC-12,"SC-12 SC-17",SC-12,"SC-12 SC-17","SC-12 SC-17",SC-12,,,,,,,,,1.L.B,"SC-12 SC-17",,,8-303,,,,,,,SC-12,"SC-12 SC-17 ","SC-12 SC-17 ",,,,,,,,,,,,,,,,,,SC-12,,"SC-12 SC-17",,,,,,,,,,,,,,,,,,,,,,,"8.2 8.9",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0485 1449",,,,,,,,,,,,,,"17.1.51.C.01 17.1.51.C.02 17.1.51.C.03 23.3.21.C.01 23.3.22.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Availability,CRY-08.1,Resiliency mechanisms exist to ensure the availability of data in the event of the loss of cryptographic keys.,,,Does the organization ensure the availability of data in the event of the loss of cryptographic keys?,9,Recover,X,X,X,There is no evidence of a capability to Resiliency ensure the availability of data in the event of the loss of cryptographic keys.,"SP-CMM1 is N/A, since a structured process is required to Resiliency ensure the availability of data in the event of the loss of cryptographic keys.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. • The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Resiliency ensure the availability of data in the event of the loss of cryptographic keys.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Resiliency ensure the availability of data in the event of the loss of cryptographic keys.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.6.4 3.6.5",3.6.1,,,,,,,3.6.1,3.6.1,,D.13.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17.1.51.C.01 17.1.51.C.02 17.1.51.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Cryptographic Key Management ,CRY-09,"Mechanisms exist to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","- Microsoft Active Directory (AD) Certificate Services - Digitcert (https://www.digicert.com) - Entrust (https://www.entrust.com) - Comodo (https://www.comodo.com) - Vault (https://www.vaultproject.io/)",E-CRY-01,"Does the organization facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys?",10,Protect,X,X,X,"There is no evidence of a capability to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","SP-CMM1 is N/A, since a structured process is required to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The IT infrastructure team provides customers with appropriate key management guidance whenever cryptographic keys are shared.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • An IT infrastructure team, or similar function, enables: o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. • The IT infrastructure team provides customers with appropriate key management guidance whenever cryptographic keys are shared.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate cryptographic key management controls to protect the confidentiality, integrity and availability of keys.",CC6.1,CC6.1-POF10,,,,,,,,"CEK-02 CEK-08 CEK-10 CEK-11 CEK-12 CEK-13 CEK-14 CEK-15 CEK-16 CEK-17 CEK-18 CEK-19 CEK-20 CEK-21 LOG-10 LOG-11","IAM-08 IAM-10 IAM-11 IAM-12 IAM-13 IAM-14 IAM-15 IOT-09 SDV-01 SWS-08 SWS-09 SWS-10",,,"CR 1.8 (5.10.1) CR 1.9 (5.11.1)",,,,,10.1.2 ,8.24,10.1.2 ,,6.7.1.2,,,,"T1072, T1098.004, T1552, T1552.001, T1552.002, T1552.004, T1563.001, T1573, T1573.001, T1573.002","TS-3.0 TS-3.1",,,,,,,,,,,SC-28(3),,,,,SC-28(3),,,,,,,,,,,,3.13.10,3.13.10,"3.13.10[a] 3.13.10[b]","A.03.13.10.ODP[01] A.03.13.10[01] A.03.13.10[02]",,,,,,"3.5 3.5.1 3.5.2 3.5.3 3.5.4 3.6 3.6.1 3.6.2 3.6.3 3.6.4 3.6.5 3.6.6 3.6.7 3.6.8","3.5.1.1 3.6.1 3.6.1.1 3.6.1.2 3.6.1.3 3.6.1.4 3.7.1 3.7.2 3.7.3 3.7.4 3.7.5 3.7.6 3.7.7 4.2.1.1",,,,,,,"3.5.1.1 3.6.1 3.6.1.2 3.6.1.3 3.6.1.4 3.7.1 3.7.2 3.7.3 3.7.4 3.7.5 3.7.6 3.7.7 4.2.1.1","3.5.1.1 3.6.1 3.6.1.1 3.6.1.2 3.6.1.3 3.6.1.4 3.7.1 3.7.2 3.7.3 3.7.4 3.7.5 3.7.6 3.7.7 4.2.1.1",,D.13.5,,,,,,ARCHITECTURE-5.E.MIL2,,,,,SC.L2-3.13.10,,,SC.L2-3.13.10,SC.L2-3.13.10,,,,,,,,"§ 11.50 § 11.50(a) § 11.50(a)(1) § 11.50(a)(2) § 11.50(a)(3) § 11.50(b) § 11.70 § 11.100 § 11.100(a) § 11.100(b)",,,,,,,,,,,,,,,,,,,1.L.B,,,,,,,,,,5.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CRY-04,,,,"8.2 8.9 8.10",,,,,,,,,,,,,TPC-55,,2-8-3-2,,,,,,7.3.11 [OP.EXP.11],,,,,,,,,,,,,,,"0455 0507",,,,,,,,,,,"10.1.2 10.1.2.20.PB",,,"17.1.51.C.01 17.1.58.C.01 17.1.58.C.02 17.1.58.C.03 23.3.21.C.01 23.3.22.C.01 23.4.9.C.02 23.4.9.C.03",,,,,"10.2.1 10.2.2 10.2.3 10.2.4 10.2.5 10.2.6 10.2.7 10.2.8 10.2.9 10.2.10",,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Symmetric Keys,CRY-09.1,Mechanisms exist to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. ,,E-CRY-01,Does the organization facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes? ,9,Protect,,X,X,There is no evidence of a capability to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. ,"SP-CMM1 is N/A, since a structured process is required to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. • The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • An IT infrastructure team, or similar function, enables: o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the production and management of symmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes. ",CC6.1,CC6.1-POF10,,,,,,,,,,,,CR 1.14 (5.16.1),,,,,,,,,,,,,,,,,,,,,SC-12(2),,,,SC-12(2),,,,,SC-12(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.13.7.1,,,10.4,,,,,,,,,,,,,SC-12(2),,,,,,,,SC-12(2) ,,SC-12(2) ,SC-12(2) ,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-12(2) ,,,,,,,,,,,,,,,,,,,,SC-12(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Asymmetric Keys,CRY-09.2,Mechanisms exist to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. ,,E-CRY-01,Does the organization facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key? ,9,Protect,,X,X,There is no evidence of a capability to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. ,"SP-CMM1 is N/A, since a structured process is required to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. • The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • An IT infrastructure team, or similar function, enables: o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the production and management of asymmetric cryptographic keys using Federal Information Processing Standards (FIPS)-compliant key management technology and processes that protect the user’s private key. ",CC6.1,CC6.1-POF10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-12(3),,,,SC-12(3),,,,,SC-12(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.13.7,,,,,,,,,,,,,,,,,,,,,,,,SC-12(3) ,,SC-12(3) ,SC-12(3) ,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-12(3) ,,,,,,,,,,,,,,,,,,,,SC-12(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Cryptographic Key Loss or Change,CRY-09.3,Mechanisms exist to ensure the availability of information in the event of the loss of cryptographic keys by individual users. ,- Escrowing of encryption keys is a common practice for ensuring availability in the event of loss of keys. ,,Does the organization ensure the availability of information in the event of the loss of cryptographic keys by individual users? ,8,Protect,X,X,X,There is no evidence of a capability to ensure the availability of information in the event of the loss of cryptographic keys by individual users. ,"SP-CMM1 is N/A, since a structured process is required to ensure the availability of information in the event of the loss of cryptographic keys by individual users. ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • An IT infrastructure team, or similar function, enables: o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure the availability of information in the event of the loss of cryptographic keys by individual users. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure the availability of information in the event of the loss of cryptographic keys by individual users. ",,,,,,,,,,"CEK-12 CEK-13 CEK-14 CEK-15 CEK-16 CEK-17 CEK-18 CEK-19 CEK-20","IAM-10 IAM-11 IAM-12 IAM-13 IAM-14 IAM-15",,,,,,,,10.1.2 ,8.24,10.1.2 ,,,,,,,,,,,,,,SC-12(1),,,SC-12(1),SC-12(1),,,,SC-12(1),,,,,SC-12(1),,,,,,,,,3.13.10,,,,,,,,"3.6.4 3.6.5","2.3.2 3.6.1 3.7.5",,,,2.3.2,2.3.2,2.3.2,"2.3.2 3.6.1 3.7.5","2.3.2 3.6.1 3.7.5",,D.13.3,,,,,,,,,,,,,,,,,,,,,,,,SC-12(1),,,SC-12(1),,SC-12(1),,,SC-12(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.3 8.11",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0455 0462",,,,,,,,,,,"10.1.2 10.1.2.20.PB",,,"7.2.24.C.01 7.2.25.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Control & Distribution of Cryptographic Keys,CRY-09.4,Mechanisms exist to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. ,,,Does the organization facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes? ,9,Protect,X,X,X,There is no evidence of a capability to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. ,"SP-CMM1 is N/A, since a structured process is required to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The IT department implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. • The IT department implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • An IT infrastructure team, or similar function, enables: o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. ",,,,,,,,,,"CEK-10 CEK-11 CEK-12 CEK-15",,,,,,,,,10.1.2 ,8.24,10.1.2 ,,,,,,,"TS-3.0 TS-3.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.13.10,,,,,,,,"3.6.6 3.6.7 3.6.8",3.6.1,,,,,,,3.6.1,3.6.1,,D.13.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.9 8.11",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"10.1.2 10.1.2.20.PB",,,,,,,,10.2.5,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Assigned Owners ,CRY-09.5,Mechanisms exist to ensure cryptographic keys are bound to individual identities. ,,,Does the organization ensure cryptographic keys are bound to individual identities? ,8,Protect,,X,X,There is no evidence of a capability to ensure cryptographic keys are bound to individual identities. ,"SP-CMM1 is N/A, since a structured process is required to ensure cryptographic keys are bound to individual identities. ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • Cryptographic keys are bound to individual identities. ","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • The Public Key Infrastructure (PKI) management function enables the implementation of cryptographic key management controls to protect the confidentiality, integrity and availability of keys. • The PKI infrastructure enables the secure distribution of symmetric and asymmetric cryptographic keys using industry recognized key management technology and processes. • The PKI infrastructure ensures the availability of information in the event of the loss of cryptographic keys by individual users. • An IT infrastructure team, or similar function, enables: o The production and management of asymmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. o The production and management of symmetric cryptographic keys using approved key management technology and processes that protect the user’s private key. • Cryptographic keys are bound to individual identities. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cryptographic keys are bound to individual identities. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cryptographic keys are bound to individual identities. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.13.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Third-Party Cryptographic Keys,CRY-09.6,Mechanisms exist to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared.,,,Does the organization ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared?,7,Protect,,,X,There is no evidence of a capability to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared.,"SP-CMM1 is N/A, since a structured process is required to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared.","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure customers are provided with appropriate key management guidance whenever cryptographic keys are shared.",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-3.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.7.9,,,,,,,,3.7.9,,D.13.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-GV-1",R-AC-1,,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,R-GV-1,,,,,,,,,,,,,,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,External System Cryptographic Key Control,CRY-09.7,Mechanisms exist to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system.,,,Does the organization maintain control of cryptographic keys for encrypted material stored or transmitted through an external system?,5,Protect,,,X,There is no evidence of a capability to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system.,"SP-CMM1 is N/A, since a structured process is required to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system.","SP-CMM2 is N/A, since a well-defined process is required to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain control of cryptographic keys for encrypted material stored or transmitted through an external system.",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-3.0,,,,,,,,,,,SA-9(6),,,,,SA-9(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-9(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"23.4.9.C.02 23.4.9.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Transmission of Cybersecurity & Data Privacy Attributes ,CRY-10,Mechanisms exist to ensure systems associate security attributes with information exchanged between systems. ,- Integrity checking,,Does the organization ensure systems associate security attributes with information exchanged between systems? ,5,Protect,,,X,There is no evidence of a capability to ensure systems associate security attributes with information exchanged between systems. ,"SP-CMM1 is N/A, since a structured process is required to ensure systems associate security attributes with information exchanged between systems. ","Cryptographic Protections (CRY) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cryptographic management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for cryptographic management. • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Decentralized technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure systems associate security attributes with information exchanged between systems. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure systems associate security attributes with information exchanged between systems. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1505, T1505.002, T1573, T1573.001, T1573.002",,,,,,,,"SC-16 SC-16(1)",,,,"SC-16 SC-16(1)",,,,,"SC-16 SC-16(1)",,,,,,,,,,,,,,,,,,,PR.AA-04,,,,,,,,,,,,,D.24.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-700,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4",R-AC-1,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Cryptographic Protections ,Certificate Authorities,CRY-11,Automated mechanisms exist to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions.,,,Does the organization use automated mechanisms to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions?,8,Protect,X,X,,There is no evidence of a capability to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions.,"SP-CMM1 is N/A, since a structured process is required to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions.","SP-CMM2 is N/A, since a well-defined process is required to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions.","Cryptographic Protections (CRY) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data classification and handling criteria govern requirements to encrypt sensitive/regulated data during transmission and in storage. • Centrally-managed technologies implement cryptographic mechanisms on endpoints to control how sensitive/regulated data is encrypted during transmission and in storage. • Systems, applications and services that store, process or transmit sensitive/regulated data use cryptographic mechanisms to prevent unauthorized disclosure of information as an alternate to physical safeguards. • An IT infrastructure team, or similar function: o Implements Public Key Infrastructure (PKI) key management controls to protect the confidentiality, integrity and availability of keys. o Implements and maintains an internal PKI infrastructure or obtains PKI services from a reputable PKI service provider. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable the use of organization-defined Certificate Authorities (CAs) to facilitate the establishment of protected sessions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-23(5),,,,SC-23(5),,,,,SC-23(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-23(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"23.3.21.C.01 23.3.22.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Data Classification & Handling ,Data Protection ,DCH-01,Mechanisms exist to facilitate the implementation of data protection controls. ,,,Does the organization facilitate the implementation of data protection controls? ,10,Protect,X,X,,There is no evidence of a capability to facilitate the implementation of data protection controls. ,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for data classification and handling practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the organization with regards to data classification and handling. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including data classification and handling. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data regarding data classification and handling. • A GRC function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the data according to the organization’s data classification and handling requirements. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of data protection controls. ","CC2.1 CC6.7 C1.1 PI1.5","CC6.7-POF2 C1.1-POF2 PI1.4-POF1 PI1.4-POF2 PI1.4-POF3 PI1.4-POF4 PI1.5-POF1 PI1.5-POF2 PI1.5-POF3 PI1.5-POF4",,"3.0 3.1 3.3 11.0 11.3","3.1 3.3 11.3","3.1 3.3 11.3","3.1 3.3 11.3","APO14.01 APO14.02 APO14.03 APO14.04 APO14.05 APO14.06 APO14.07 APO14.08 APO14.09 APO14.10",Principle 13,"CEK-04 DCS-01 DCS-02 DCS-03 DCS-04 DSP-01 DSP-10 DSP-17 HRS-03","DAT-02 LGL-08",,,FR 4 (8.1),RQ-05-09,,,,"8.2 8.2.3 8.3","5.9 5.10 5.12 5.33 7.10 8.12","8.2 8.2.3 8.3",,"6.5.2 6.5.3.3",,,,,"OP-1.1 OP-2.0 OP-3.1 OP-3.3 TS-1.15",,,GV.PO-P1,,,,MP-1,MP-1,MP-1,MP-1,MP-1,MP-1,MP-1,MP-1,MP-1,,,MP-1,MP-1,MP-1,3.3.6,MP-1,MP-1,,MP-1,MP-1,,"3.8.1 NFO - MP-1","3.8.1 3.17.1.c","3.8.1[a] 3.8.1[b] 3.8.1[c] 3.8.1[d]",,3.1.3E,,PR.DS-5,"PR.DS PR.DS-01 PR.DS-02 PR.DS-09 PR.DS-10",,"9.7 9.7.1","9.4 9.4.1",9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,P.2,"2.1 2.4A 2.9 2.11A","3.1.4 8.2.4 8.3.1 8.4.1 9.1",10.1,,,"ARCHITECTURE-5.A.MIL1 ARCHITECTURE-5.B.MIL2 ARCHITECTURE-5.C.MIL2",KIM:SG2.SP2,"3.4 8.3","4.2.3.1 5.1.1.1 5.7.2 5.8",,MP.L2-3.8.1,MP.L2-3.8.1,,MP.L2-3.8.1,"AC.L3-3.1.3e MP.L2-3.8.1",MP-1,,,,,,,"§ 11.2 § 11.2(a) § 11.10 § 11.10(a) § 11.10(b) § 11.10(c) § 11.10(d) § 11.10(e) § 11.10(f) § 11.10(g) § 11.10(h) § 11.10(i) § 11.10(j) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)",MP-1 ,MP-1 ,MP-1 ,MP-1 ,MP-1 ,MP-1,MP-1,MP-1,MP-1,MP-1,"§ 1232g § 1232h",,,,"314.4(c)(1)(i) 314.4(c)(6)(ii)",,,"4.M.B 4.M.E 7.M.C","4.M.B 4.M.E 7.M.C","1.3 1.9.1 1.9.2 2.A.2 2.A.3 2.B.2 2.B.3 2.C.5 2.D.1 3.3.8 MP-1","120.2 120.10 120.11 120.17 120.18 120.19 120.20 120.21 120.22 120.23 120.50 120.51","CIP-002-5.1a R1 & R2","8-306 8-309",10.1,6.10,,,,"5.5 5.8",MP-1 ,MP-1 ,MP-1 ,,45.48.100,,,,"6-1-1305(4) 6-1-1307(2) 6-1-1307(3) 6-1-1308(5)",,,,17.03(2)(c),,,"Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(B)(3) Sec 4(2)(b)(ii)(B)(4) Sec 4(2)(b)(ii)(C)(1) Sec 4(2)(b)(ii)(C)(2) Sec 4(2)(b)(ii)(C)(3) Sec 4(2)(b)(ii)(C)(4)",,,,Sec 13,MP-1,MP-1,MP-1,,,"§ 2447(a) § 2447(a)(1) § 2447(a)(1)(A) § 2447(a)(1)(B) § 2447(a)(1)(C) § 2447(a)(1)(D) § 2447(a)(2)",,,,"Art 5.1 Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,"Art 13 Art 27","Art 27 Art 41 ","Sec 5 Sec 32 Sec 33 Sec 34 Sec 35",Art 34,"Sec 4b Sec 9 Sec 9a Sec 16 Annex",,COS-08,Art 9,"Sec 7 Sec 8",Sec 2,"5.1 5.2 5.3 5.5 11.6 15.1 15.6 15.7","Sec 16 Sec 17","Sec 31 Sec 33 Sec 34 Sec 35 Sec 42",,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14 Sec 29","Art 1 Art 36 Art 47","Art 14 Art 15 Art 16 Art 17 Art 18 Art 19",,"Art 7 Art 12 Art 19","2-6 2-6-1-3","TPC-24 TPC-39 TPC-58",,"2-1-6 2-3-3 2-3-3-2 2-3-4 2-7-1 2-7-2 2-7-3 2-7-4 2-7-3-3","2-6 2-6-1 2-6-1-1 2-6-2",Article 65,,"Sec 14.1 Sec 19 Sec 21",,8.5.3 [MP.SI.3],"Sec 31 Sec 33","Art 6 Art 7","Art 8 Art 12","Sec 11 Sec 15 Sec 16","A3.a B3.a B3.b B3.c",B3,,,,,,,"APP Part 8 APP Part 11",APP 11,"1599 1549 0337 0831 1059",,,"20 21(a)",,Sec 4,,"Principle 4 Sec 33","Sec 7 Sec 8",,Article 20,8.2.3,Sec 9,,"4.4.10.C.01 9.2.12.C.01 9.2.13.C.01 9.2.13.C.02 9.2.14.C.01 9.2.15.C.01 9.2.15.C.02 9.2.17.C.01 9.2.17.C.02 9.2.18.C.01 9.2.19.C.01 9.2.19.C.02 9.2.19.C.03 9.2.19.C.04 9.2.20.C.01 13.2.6.C.01 13.2.7.C.01",,Sec 25,"Sec 24 Sec 26",,"11.1.1 11.1.1(a) 11.1.1(b) 11.1.1(c) 11.1.2 11.1.3 11.1.4 11.1.5 11.1.6 11.1.7",,Art 21,"Art 9 Art 12",,,"6.8 6.10 6.13","Art 46 Art 47",,,Principle 7,Art 7,,,,,"Art 11 Art 12",,,,x,MA 201 CMR 17,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Data Classification & Handling ,Data Stewardship ,DCH-01.1,"Mechanisms exist to ensure data stewardship is assigned, documented and communicated. ",,,"Does the organization ensure data stewardship is assigned, documented and communicated? ",10,Protect,X,X,X,"There is no evidence of a capability to ensure data stewardship is assigned, documented and communicated. ","Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • Security awareness training covers the restrictions on: o Disposing protected data. o Posting content to websites, social media or other publicly-accessible sources. o Use of sensitive/regulated data. o Sharing sensitive/regulated data and approved transfer technologies. o Encrypting sensitive/regulated data whenever it is being transmitted or stored. • Administrative means (e.g., policies and standards): o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Restrict types of ad-hoc transfers. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • HR requires personnel with access to sensitive/regulated data to sign a Non-Disclosure Agreement (NDA).","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure data stewardship is assigned, documented and communicated. ",CC2.1,,,3.1,3.1,3.1,3.1,,Principle 13,"DSP-03 DSP-06 HRS-03",,,,,,,,,,,,,,,,,,"OP-1.1 OP-3.2",,,,,,,,,,,SA-4(12),,,,,SA-4(12),,,,,,,,,,,,,3.8.1,,,,,,,,,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,P.7,"2.9 2.11A",,,,,,,,"4.2.3.3 5.1.1.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.B,4.M.B,SA-4(12),,"CIP-011-2 R1",,10.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AM-06,,,,11.6,,,,,,,,,,,,,"TPC-39 TPC-58",,2-7-3-1,,,,,,8.5.3 [MP.SI.3],,,,,"B3.a B3.b",,,,,,,,,,,,,,,,,,,,Article 21,,,,,,,,,3.3.1(c),,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Sensitive / Regulated Data Protection,DCH-01.2,Mechanisms exist to protect sensitive/regulated data wherever it is stored.,,,Does the organization protect sensitive/regulated data wherever it is stored?,9,Protect,X,X,X,There is no evidence of a capability to protect sensitive/regulated data wherever it is stored.,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT personnel provide an encryption solution (software or hardware) for storage media.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect sensitive/regulated data wherever it is stored.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect sensitive/regulated data wherever it is stored.",,C1.1-POF2,,,,,,,,,,,,,,,,,,,,,,,,,,OP-3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.2 3.1.20.a 3.1.20.b 3.1.20.c.1 3.1.20.c.2 3.1.20.d 3.8.1 3.17.1.c",,,,,,"PR.DS-01 PR.DS-02",,,3.5.1,,,,,,,3.5.1,3.5.1,,D.8.2,"2.9 2.11A",,,,,,,3.4,,,,,,,,,,"252.204-7012(h) 252.204-7012(i)(1) 252.204-7012(i)(2) 252.204-7012(i)(3) 252.204-7012(i)(4) 252.204-7012(i)(5) 252.204-7012(j)",,,,,,,,,,,,,,,,,,,,,,,,,"2.A.2 2.B.2 2.D.5",,,,"10.1 10.2 10.5 10.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"TPC-24 TPC-39 TPC-58",,,2-6-1-1,,,,,,,,,,"B3.a B3.b B3.c",B3,,,,,,,,,1802,,,,,,,,,,,,,,18.6.8.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-GV-1",R-AC-1,,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,R-GV-1,,,,,,,,,,,,,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Data Classification & Handling ,Sensitive / Regulated Media Records,DCH-01.3,Mechanisms exist to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident.,,,Does the organization ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident?,6,Protect,,X,,There is no evidence of a capability to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident.,"SP-CMM1 is N/A, since a structured process is required to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident.","SP-CMM2 is N/A, since a well-defined process is required to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure media records for sensitive/regulated data contain sufficient information to determine the potential impact in the event of a data loss incident.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.9,,,,,,,,,,,,,,,MP-CMS-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7101(a) 7101(b) 7101(c) 7101(d) 7101(e)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"B3.a B3.e",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Defining Access Authorizations for Sensitive/Regulated Data,DCH-01.4,Mechanisms exist to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data.,,,Does the organization explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data?,9,Protect,,x,x,There is no evidence of a capability to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data.,"SP-CMM1 is N/A, since a structured process is required to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data.","SP-CMM2 is N/A, since a well-defined process is required to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to explicitly define authorizations for specific individuals and/or roles for logical and /or physical access to sensitive/regulated data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.1.a 3.1.2 3.1.3 3.1.4.b 3.17.1.c",,"A.03.01.01.g.01 A.03.01.01.g.02 A.03.01.01.g.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- new control Data Classification & Handling ,Data & Asset Classification ,DCH-02,"Mechanisms exist to ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. ",,"E-DCH-01 E-DCH-02","Does the organization ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements? ",10,Identify,X,X,X,"There is no evidence of a capability to ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. ","SP-CMM1 is N/A, since a structured process is required to ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure data and assets are categorized in accordance with applicable statutory, regulatory and contractual requirements. ","CC2.1 C1.1",CC6.1-POF1,,"3.1 3.7",3.1,"3.1 3.7","3.1 3.7",,Principle 13,"DCS-05 DSP-04",DAT-01,,,,,,,,8.2.1 ,"5.9 5.12",8.2.1 ,,6.5.2.1,,,,,OP-3.2,,GOVERN 1.6,,,P-12,,,,,,,,,,,,,,,,,,,,,,,,3.8.4,,,,,ID.AM-5,,,9.6.1,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,,D.7,"2.9 2.10","1.3.2 8.2.4",10.2,,,,,,"4.1.1 4.2.1 4.2.2 4.3",,,,,,,,,,,,,,,,,,,,,,,,,,D1.G.IT.B.2,,,,,"4.S.A 10.S.A","4.M.A 4.M.E","4.M.A 4.M.E",,"120.6 120.7 120.8 120.9 120.10 120.46",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.3(17) 3.3.3(18) 3.3.3(19) 3.5(54)",,,,,,,,,,,,,,"7.13 7.14 12.4","AM-02 AM-06 COS-08 PI-01",,,,"5.3 15.2",,,,,,,,,,,,2-6-1-2,TPC-24,,"2-1-5 2-7-3-2 4-2-3-1",2-6-1-1,,,,,8.7.2 [MP.INFO.2],,,,,"A3.a B3.a",B3,,,Article 4,,,,,,"0294 0296 0323",,,"20 21(a)",,,,,,,,8.2.1,,,"12.3.4.C.01 12.3.5.C.01 12.3.5.C.02 12.3.6.C.01 12.3.7.C.01 18.6.8.C.01",,,,,3.3.1(b),,,,,,6.8,,,,,,,,,,,,,,x,Lockton,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Highest Classification Level,DCH-02.1,"Mechanisms exist to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/or processed.",,,"Does the organization ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/or processed?",8,Protect,X,X,X,"There is no evidence of a capability to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed.","SP-CMM1 is N/A, since a structured process is required to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that systems, applications and services are classified according to the highest level of data sensitivity that is stored, transmitted and/ or processed.",,,,"3.7 3.12",,"3.7 3.12","3.7 3.12",,,DSP-17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.7,2.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.B.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-6-1-1,TPC-24,,,2-6-1-4,,,,,,,,,,,,,,,,,,,,"0323 0325",,,,,,,,,,,,,,"4.4.9.C.01 13.2.8.C.01 13.2.9.C.01 18.6.9.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Media Access ,DCH-03,Mechanisms exist to control and restrict access to digital and non-digital media to authorized individuals. ,- Data Loss Prevention (DLP),,Does the organization control and restrict access to digital and non-digital media to authorized individuals? ,8,Protect,,X,X,There is no evidence of a capability to control and restrict access to digital and non-digital media to authorized individuals. ,"SP-CMM1 is N/A, since a structured process is required to control and restrict access to digital and non-digital media to authorized individuals. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control and restrict access to digital and non-digital media to authorized individuals. ",C1.1,,,"3.1 3.3","3.1 3.3","3.1 3.3","3.1 3.3",,,"DSP-10 HRS-03",,,,,,,,,,7.10,,,,,,,,OP-3.2,,,,,,,MP-2,MP-2,MP-2,MP-2,MP-2,,MP-2,MP-2,MP-2,,,MP-2,MP-2,MP-2,,,,,,,,"3.1.3 3.8.2","3.1.3 3.8.2","3.1.3[c] 3.8.2",A.03.08.02,,,,,,,,,,,,,,,,,D.3.1,2.11A,,,,,,"AM:SG1.SP1 KIM:SG2.SP1 KIM:SG2.SP2",,,,"AC.L2-3.1.3 MP.L2-3.8.2",MP.L2-3.8.2,,"AC.L2-3.1.3 MP.L2-3.8.2","AC.L2-3.1.3 MP.L2-3.8.2",MP-2,,,,,,,,MP-2 ,MP-2 ,MP-2 ,MP-2 ,MP-2 ,MP-2,MP-2,MP-2,MP-2,MP-2,§ 1232h,,,,,,,,,MP-2,,,8-310,"10.2 10.5 10.6 10.7 10.8",,,,,,MP-2 ,MP-2 ,MP-2 ,,,,,,,,,,,,,,,,,,MP-2,MP-2,MP-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-39,,,,,,,,,,,,,"B3.a B3.b B3.c",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Disclosure of Information,DCH-03.1,Mechanisms exist to restrict the disclosure of sensitive / regulated data to authorized parties with a need to know.,,,Does the organization restrict the disclosure of sensitive / regulated data to authorized parties with a need to know?,10,Protect,,X,X,There is no evidence of a capability to restrict the disclosure of sensitive / regulated data to authorized parties with a need to know.,"SP-CMM1 is N/A, since a structured process is required to restrict the disclosure of sensitive / regulated data to authorized parties with a need to know.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the disclosure of sensitive / regulated data to authorized parties with a need to know.",P6.0,"P6.1-POF2 P6.1-POF3 P6.1-POF4 P6.4-POF1",,"3.1 3.3","3.1 3.3","3.1 3.3","3.1 3.3",,,DSP-18,,,,,RQ-05-09,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.22.a 3.17.1.c",,,,,,,,,,,,,,,,,,,D.3.1,"2.4A 2.9 2.11A",,,,,,,,"4.2.3.3 5.1.3 5.1.4",,,,,,,,,252.204-7000,,,,,,,,,,,,,,,,§ 1232h,,,,,,,,,"2.A.4 2.C.11 2.C.11.1 2.C.11.2 2.C.11.3 2.C.11.4 2.C.11.5 2.C.11.6 2.C.11.7 2.C.11.8",120.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,10.5,,,,,,,,,,,,2-6-1-3,TPC-39,,,2-6-1-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,R-AM-1,,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Masking Displayed Data ,DCH-03.2,Mechanisms exist to apply data masking to sensitive/regulated information that is displayed or printed. ,,,Does the organization apply data masking to sensitive/regulated information that is displayed or printed? ,7,Protect,,X,X,There is no evidence of a capability to apply data masking to sensitive information that is displayed or printed. ,"SP-CMM1 is N/A, since a structured process is required to apply data masking to sensitive information that is displayed or printed. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to apply data masking to sensitive information that is displayed or printed. ",,,,,,,,,,,,,,,,,,,,8.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3,3.4.1,,,3.4.1,3.4.1,3.4.1,3.4.1,3.4.1,3.4.1,,P.7.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.B,4.M.B,,,,,,,,,,,,,,,,,,,,,"Sec 10(a)(2) Sec 10(a)(4) Sec 30",,,,,,,,,Sec 4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Controlled Release,DCH-03.3,Automated mechanisms exist to validate cybersecurity & data privacy attributes prior to releasing information to external systems.,,,Does the organization use automated mechanisms to validate cybersecurity & data privacy attributes prior to releasing information to external systems?,4,Protect,,,,There is no evidence of a capability to validate cybersecurity & data privacy attributes prior to releasing information to external systems.,"SP-CMM1 is N/A, since a structured process is required to validate cybersecurity & data privacy attributes prior to releasing information to external systems.","SP-CMM2 is N/A, since a well-defined process is required to validate cybersecurity & data privacy attributes prior to releasing information to external systems.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate cybersecurity & data privacy attributes prior to releasing information to external systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate cybersecurity & data privacy attributes prior to releasing information to external systems.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(9),,,,AC-3(9),,,,,,,,,,,AC-3(9),,,,AC-3(9),AC-3(9),,,,,,,,,,,,,,,,,,,,,C.8,,,,,,,,,,,,,,,,AC-3(9),,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(9),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AM-3 R-BC-5 R-GV-1 R-GV-4",R-AC-1,,,,,,R-AM-3,,,,,R-BC-5,,,,,,,,R-GV-1,,,R-GV-4,,,,,,,,,,,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,,, Data Classification & Handling ,Media Marking ,DCH-04,"Mechanisms exist to mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. ",,,"Does the organization mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements? ",7,Protect,,X,X,"There is no evidence of a capability to mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. ","SP-CMM1 is N/A, since a structured process is required to mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. ",,,,,,,,,,,,,1.2.3,,,,,,8.2.2 ,"5.10 5.13",8.2.2 ,,6.5.2.2,,,,,OP-3.2,,,,,,,MP-3,,MP-3,MP-3,MP-3,,,MP-3,MP-3,,,,MP-3,MP-3,,,,,,,,3.8.4,3.8.4,"3.8.4[a] 3.8.4[b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x,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Automated Marking,DCH-04.1,"Automated mechanisms exist to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. ",,,"Does the organization use automated mechanisms to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies? ",2,Protect,,,X,"There is no evidence of a capability to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. ","SP-CMM1 is N/A, since a structured process is required to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. ","SP-CMM2 is N/A, since a well-defined process is required to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. ","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mark physical media and digital files to indicate the distribution limitations, handling requirements and applicable security markings (if any) of the information to aid Data Loss Prevention (DLP) technologies. ",,,,,,,,,,UEM-11,,,,,,,,,,,,,,,,,,,,,CT.DM-P7,,,,,,,,MP-3,,,MP-3,MP-3,,,,MP-3,MP-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.10.13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,MP-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Data Classification & Handling ,Cybersecurity & Data Privacy Attributes,DCH-05,"Mechanisms exist to bind cybersecurity & data privacy attributes to information as it is stored, transmitted and processed.",,,"Does the organization bind cybersecurity & data privacy attributes to information as it is stored, transmitted and processed?",2,Protect,,,X,"There is no evidence of a capability to bind security attributes to information as it is stored, transmitted and processed.","SP-CMM1 is N/A, since a structured process is required to bind security attributes to information as it is stored, transmitted and processed.","SP-CMM2 is N/A, since a well-defined process is required to bind security attributes to information as it is stored, transmitted and processed.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to bind security attributes to information as it is stored, transmitted and processed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to bind security attributes to information as it is stored, transmitted and processed.",,,,,,,,,,,DAT-01,,,,,,,,,,,,,,,,"T1003, T1003.003, T1005, T1020.001, T1025, T1040, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1070, T1070.001, T1070.002, T1114, T1114.001, T1114.002, T1114.003, T1119, T1213, T1213.001, T1213.002, T1222, T1222.001, T1222.002, T1505, T1505.002, T1530, T1537, T1547.007, T1547.011, T1548, T1548.003, T1550.001, T1552, T1552.004, T1552.005, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1564.004, T1565, T1565.001, T1565.002, T1567, T1602, T1602.001, T1602.002",,,,CT.DM-P7,,,,AC-16,,,,AC-16,,,,,AC-16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3.6,,,,,,,"KIM:SG2.SP1 KIM:SG2.SP2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,8-306,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Dynamic Attribute Association,DCH-05.1,"Mechanisms exist to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity and data privacy policies.",,,"Does the organization dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity and data privacy policies?",2,Protect,,,X,"There is no evidence of a capability to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies.","SP-CMM1 is N/A, since a structured process is required to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies.","SP-CMM2 is N/A, since a well-defined process is required to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to dynamically associate cybersecurity & data privacy attributes with individuals and objects as information is created, combined, or transformed, in accordance with organization-defined cybersecurity & data privacy policies.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CT.DM-P7,,,,,,,,AC-16(1),,,,,AC-16(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Attribute Value Changes By Authorized Individuals,DCH-05.2,Mechanisms exist to provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes.,,,Does the organization provide authorized individuals (or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes?,8,Protect,,,X,There is no evidence of a capability to provide authorized individuals ( or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes.,"SP-CMM1 is N/A, since a structured process is required to provide authorized individuals ( or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide authorized individuals ( or processes acting on behalf of individuals) the capability to define or change the value of associated cybersecurity & data privacy attributes.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-16(2),,,,,AC-16(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.8.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Maintenance of Attribute Associations By System,DCH-05.3,Mechanisms exist to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects.,,,Does the organization maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects?,2,Protect,,,X,There is no evidence of a capability to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects.,"SP-CMM1 is N/A, since a structured process is required to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects.","SP-CMM2 is N/A, since a well-defined process is required to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain the association and integrity of cybersecurity & data privacy attributes to individuals and objects.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-16(3),,,,,AC-16(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Association of Attributes By Authorized Individuals,DCH-05.4,Mechanisms exist to provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals (or processes acting on behalf of individuals).,,,Does the organization provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals (or processes acting on behalf of individuals)?,2,Protect,,,X,There is no evidence of a capability to provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals ( or processes acting on behalf of individuals).,"SP-CMM1 is N/A, since a structured process is required to provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals ( or processes acting on behalf of individuals).","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide the capability to associate cybersecurity & data privacy attributes with individuals and objects by authorized individuals ( or processes acting on behalf of individuals).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-16(4),,,,,AC-16(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.8.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Attribute Displays for Output Devices,DCH-05.5,"Mechanisms exist to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions.",,,"Does the organization display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions?",8,Protect,,,X,"There is no evidence of a capability to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions.","SP-CMM1 is N/A, since a structured process is required to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions.","SP-CMM2 is N/A, since a well-defined process is required to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to display cybersecurity & data privacy attributes in human-readable form on each object that the system transmits to output devices to identify special dissemination, handling or distribution instructions using human-readable, standard naming conventions.",,,,,,,,DSS05.06,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-16(5),,,,,AC-16(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Data Subject Attribute Associations,DCH-05.6,Mechanisms exist to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity and data privacy policies.,,,Does the organization require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity and data privacy policies?,2,Protect,,,X,There is no evidence of a capability to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies.,"SP-CMM1 is N/A, since a structured process is required to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies.","SP-CMM2 is N/A, since a well-defined process is required to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require personnel to associate and maintain the association of cybersecurity & data privacy attributes with individuals and objects in accordance with cybersecurity & data privacy policies.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CT.DP-P1 CT.DP-P2 CT.DP-P3 CT.DP-P4 CT.DP-P5",,,,,,,,AC-16(6),,,,,AC-16(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Consistent Attribute Interpretation,DCH-05.7,"Mechanisms exist to provide a consistent, organizationally agreed upon interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components.",,,"Does the organization provide a consistent, organizationally agreed upon interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components?",2,Protect,,,X,"There is no evidence of a capability to provide a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components.","SP-CMM1 is N/A, since a structured process is required to provide a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components.","SP-CMM2 is N/A, since a well-defined process is required to provide a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide a consistent, organizationally agreed up on interpretation of cybersecurity & data privacy attributes employed in access enforcement and flow enforcement decisions between distributed system components.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-16(7),,,,,AC-16(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.7.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Identity Association Techniques & Technologies,DCH-05.8,Mechanisms exist to associate cybersecurity & data privacy attributes to information.,,,Does the organization associate cybersecurity & data privacy attributes to information?,2,Protect,,X,X,There is no evidence of a capability to associate cybersecurity & data privacy attributes to information.,"SP-CMM1 is N/A, since a structured process is required to associate cybersecurity & data privacy attributes to information.","SP-CMM2 is N/A, since a well-defined process is required to associate cybersecurity & data privacy attributes to information.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to associate cybersecurity & data privacy attributes to information.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CT.DP-P1 CT.DP-P2 CT.DP-P3 CT.DP-P4 CT.DP-P5",,,,,,,,AC-16(8),,,,,AC-16(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Attribute Reassignment,DCH-05.9,"Mechanisms exist to reclassify data as required, due to changing business/technical requirements.",,,"Does the organization reclassify data as required, due to changing business/technical requirements?",7,Protect,,X,X,"There is no evidence of a capability to reclassify data as required, due to changing business/technical requirements.","SP-CMM1 is N/A, since a structured process is required to reclassify data as required, due to changing business/technical requirements.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to reclassify data as required, due to changing business/technical requirements.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CT.DM-P7,,,,,,,,AC-16(9),,,,,AC-16(9),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Attribute Configuration By Authorized Individuals,DCH-05.10,Mechanisms exist to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects.,,,Does the organization provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects?,8,Protect,,X,X,There is no evidence of a capability to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects.,"SP-CMM1 is N/A, since a structured process is required to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide authorized individuals the capability to define or change the type and value of cybersecurity & data privacy attributes available for association with subjects and objects.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-16(10),,,,,AC-16(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.8.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Audit Changes,DCH-05.11,Mechanisms exist to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures.,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures?,7,Detect,,X,X,There is no evidence of a capability to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures.,"SP-CMM1 is N/A, since a structured process is required to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures.","SP-CMM2 is N/A, since a well-defined process is required to audit changes to cybersecurity & data privacy attributes and responds to events in accordance with incident response procedures.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,4.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Media Storage,DCH-06,"Mechanisms exist to: ▪ Physically control and securely store digital and non-digital media within controlled areas using organization-defined security measures; and ▪ Protect system media until the media are destroyed or sanitized using approved equipment, techniques and procedures.",,,"Does the organization: ▪ Physically control and securely store digital and non-digital media within controlled areas using organization-defined security measures; and ▪ Protect system media until the media are destroyed or sanitized using approved equipment, techniques and procedures?",8,Protect,X,X,X,"There is no evidence of a capability: ▪ Physically control and securely store digital and non-digital media within controlled areas using organization-defined security measures; and ▪ Protect system media until the media are destroyed or sanitized using approved equipment, techniques and procedures.","Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • Media is securely stored until it is destroyed or sanitized using approved equipment, techniques and procedures. • A data retention process exists and is a manual process to govern.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,7.10,,,,,,,,"OP-1.3 OP-3.0 OP-3.2",,,,,,,MP-4,,MP-4,MP-4,MP-4,,,MP-4,MP-4,,,,MP-4,MP-4,,MP-4,,MP-4,MP-4,MP-4,,3.8.1,3.8.1,,"A.03.08.01[01] A.03.08.01[02]",,,,,,"9.5 9.5.1 9.6 9.6.1 9.6.2 9.7","9.4 9.4.1 9.4.1.2",9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,"9.4.1 9.4.1.2","9.4.1 9.4.1.2",9.4.1,D.3.7,,,,,,,"KIM:SG4.SP2 KIM:SG4.SP3",3.4,"4.2.4 5.8.1",,MP.L2-3.8.1,,,MP.L2-3.8.1,MP.L2-3.8.1,MP-4,,,,,,,,MP-4 ,,MP-4 ,MP-4 ,,MP-4,,MP-4,MP-4,,,,,,,,,,,MP-4,,,8-308,"10.5 10.8",,,,,,,MP-4 ,MP-4 ,,,,,,,,,,17.03(2)(c),,,,"622(2)(d)(C)(i) 620",,,,,,MP-4,,,,,,,,,,,,,,,,,,,,,,,15.3,,,,,,,,,,,,,,,2-3-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.4.10.C.01 8.4.11.C.01 8.4.12.C.01 8.4.13.C.01 13.3.5.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,"MA 201 CMR 17 OR 6464A",,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Physically Secure All Media,DCH-06.1,Mechanisms exist to physically secure all media that contains sensitive information.,- Lockbox,,Does the organization physically secure all media that contains sensitive information?,9,Protect,,X,,There is no evidence of a capability to physically secure all media that contains sensitive information.,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • Media is securely stored until it is destroyed or sanitized using approved equipment, techniques and procedures. • A data retention process exists and is a manual process to govern.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to physically secure all media that contains sensitive information.",,,,,,,,,,,,,,,,,,,,,,,,,,,,"OP-1.3 OP-3.0 OP-3.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.8.1,,,,,,,,"9.5 9.5.1","9.4 9.4.1 9.4.1.2",9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,9.4.1,"9.4.1 9.4.1.2","9.4.1 9.4.1.2",9.4.1,F.10,,,,,,,,,5.8.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.B.1,,,,10.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Sensitive Data Inventories,DCH-06.2,Mechanisms exist to maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. ,,E-AST-08,Does the organization maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually? ,9,Detect,,X,,There is no evidence of a capability to maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. ,"SP-CMM1 is N/A, since a structured process is required to maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain inventory logs of all sensitive media and conduct sensitive media inventories at least annually. ",,C1.1-POF1,,3.2,3.2,3.2,3.2,,,"DSP-03 DSP-17 STA-07",,,,,,,,,,,,,,,,,,OP-3.2,,,ID.IM-P3,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4.11.a 3.4.11.b 3.4.11.c",,,,,,ID.AM-07,,9.7.1,"9.4.1.2 9.4.5 9.4.5.1",,,,,,,"9.4.1.2 9.4.5 9.4.5.1","9.4.1.2 9.4.5 9.4.5.1",,D.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.A.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B3.e,,,,,,,,,,0336,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.4,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Periodic Scans for Sensitive Data,DCH-06.3,"Mechanisms exist to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. ",,,"Does the organization periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations? ",7,Detect,,X,X,"There is no evidence of a capability to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. ","SP-CMM1 is N/A, since a structured process is required to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. ","SP-CMM2 is N/A, since a well-defined process is required to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. ","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to periodically scan unstructured data sources for sensitive/regulated data or data requiring special protection measures by statutory, regulatory or contractual obligations. ",,,,3.2,3.2,3.2,3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A3.2.5 A3.2.5.1",,,,,,,,,,D.5.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Making Sensitive Data Unreadable In Storage,DCH-06.4,Mechanisms exist to ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. ,,,Does the organization ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored? ,9,Protect,,X,X,There is no evidence of a capability to ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. ,"SP-CMM1 is N/A, since a structured process is required to ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure sensitive/regulated data is rendered human unreadable anywhere sensitive/regulated data is stored. ",,,,,,,,,,DSP-17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.4 3.4.1",9.4,,,,,,,,,,D.6,,,,,,,,,4.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.4.13.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Storing Authentication Data,DCH-06.5,Mechanisms exist to prohibit the storage of sensitive transaction authentication data after authorization. ,,,Does the organization prohibit the storage of sensitive transaction authentication data after authorization? ,5,Protect,,X,X,There is no evidence of a capability to prohibit the storage of sensitive transaction authentication data after authorization. ,"SP-CMM1 is N/A, since a structured process is required to prohibit the storage of sensitive transaction authentication data after authorization. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the storage of sensitive transaction authentication data after authorization. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the storage of sensitive transaction authentication data after authorization. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.2 3.2.1 3.2.2 3.2.3","3.3.1 3.3.1.1 3.3.1.2 3.3.1.3 3.3.3",,"3.3.1 3.3.1.2 3.3.1.3","3.3.1 3.3.1.1 3.3.1.2 3.3.1.3","3.3.1 3.3.1.1 3.3.1.2 3.3.1.3","3.3.1 3.3.1.2 3.3.1.3","3.3.1 3.3.1.2","3.3.1 3.3.1.1 3.3.1.2 3.3.1.3","3.3.1 3.3.1.1 3.3.1.2 3.3.1.3 3.3.3","3.1.1 3.3.1.2",H.3.20,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Media Transportation ,DCH-07,Mechanisms exist to protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.,- Assigned couriers,,Does the organization protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures?,9,Protect,X,X,,There is no evidence of a capability to protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.,"SP-CMM1 is N/A, since a structured process is required to protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures.",,,,,,,,,,,,,8.2.6,,,,,,8.3.3,"5.14 7.10",8.3.3,,,,,,,"OP-1.1 OP-1.2 OP-1.3",,,,,,,MP-5,,MP-5,MP-5,MP-5,,,MP-5,MP-5,,,,MP-5,MP-5,,MP-5,,,MP-5,MP-5,,3.8.5,"3.8.5.a 3.8.5.b","3.8.5[a] 3.8.5[b]","A.03.08.05.a[01] A.03.08.05.a[02] A.03.08.05.b A.03.08.05.c",,,,,,"9.6 9.6.2 9.6.3 9.7",9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,,D.9.3,,8.3.1,,,,,"KIM:SG4.SP2 KIM:SG4.SP3",,"5.8.2 5.8.2.1",,MP.L2-3.8.5,MP.L2-3.8.5,,MP.L2-3.8.5,MP.L2-3.8.5,MP-5,,,,,,,,MP-5 ,,MP-5 ,MP-5 ,,MP-5,,MP-5,MP-5,,,,,,,,,,,"2.B.4 2.B.4.1 MP-5",,,8-605,"10.7 10.8",,,,,,,MP-5 ,MP-5 ,,,,,,,,,,17.03(2)(c),,,,620,,,,,,MP-5,,,,,,,,,,,,,,,,,,,,,,,15.7,,,,,,,,,,,,,,,,2-6-1-4,,,,,8.5.4 [MP.SI.4],,,,,B3.b,,,,,,,,,,,,,,,,,,,,,8.3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Custodians,DCH-07.1,Mechanisms exist to identify custodians throughout the transport of digital or non-digital media. ,- Chain of custody,,Does the organization identify custodians throughout the transport of digital or non-digital media? ,9,Protect,,X,,There is no evidence of a capability to identify custodians throughout the transport of digital or non-digital media. ,"SP-CMM1 is N/A, since a structured process is required to identify custodians throughout the transport of digital or non-digital media. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify custodians throughout the transport of digital or non-digital media. ",,,,,,,,,,,,,,,,,,,8.2.3,"5.10 5.14",8.2.3,,6.5.2.3,,,,,"OP-1.1 OP-1.2 OP-1.3",,,,,,,MP-5(3),,,,MP-5(3),,,,,MP-5(3),,,,,,,,,,,,,"3.4.11.b 3.8.5.b",,,,,,,,,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,9.4.3,,D.9.3,,8.3.1,,,,,,,5.8.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2.B.4 2.B.4.1 MP-5(3)",,,,10.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,15.7,,,,,,,,,,,,,,,,2-6-1-4,,,,,8.5.3 [MP.SI.3],,,,,B3.b,,,,,,,,,,,,,,,,,,,,,8.2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Encrypting Data In Storage Media,DCH-07.2,Cryptographic mechanisms exist to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.,,,Are cryptographic mechanisms utilized to protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas?,5,Protect,,X,X,There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT personnel provide an encryption solution (software or hardware) for storage media.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of information stored on digital media during transport outside of controlled areas.",,,,,,,,,,,,,,CR 4.1 (8.3.1(a)),,,,,,7.10,,,,,,,,,,,,,,,MP-5(4),,MP-5(4),MP-5(4),SC-28(1),,,SC-28(1),SC-28(1),,,,SC-28(1),SC-28(1),,,,,,,,,3.8.5.a,,,,,,,,,,,,,,,,,,,D.5.2,,,,,,,,,"4.2.4 5.8.2.1",,,,,,,MP-5(4),,,,,,,,MP-5(4),,MP-5(4),MP-5(4),,,,,,,,,,,,,,,,SC-28(1),,,,"10.8 18.3",,,,,,,,MP-5(4),,,,,,,,,,,,,,,,,,,,MP-5(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B3.b,,,,,,,,,,,,,,,,,,,,,,,,8.4.13.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Physical Media Disposal,DCH-08,"Mechanisms exist to securely dispose of media when it is no longer required, using formal procedures. ","- Shred-it - IronMountain - DoD-strength data erasers",E-AST-03,"Does the organization securely dispose of media when it is no longer required, using formal procedures? ",10,Protect,,X,X,"There is no evidence of a capability to securely dispose of media when it is no longer required, using formal procedures. ","SP-CMM1 is N/A, since a structured process is required to securely dispose of media when it is no longer required, using formal procedures. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • Devices are escrowed in storage for a period of time before being wiped and reissued, in case data on the devices are needed for investigations or business purposes.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely dispose of media when it is no longer required, using formal procedures. ",CC6.5,"CC6.5-POF2 C1.2-POF2 P4.3-POF2 P4.3-POF3",,"3.1 3.5","3.1 3.5","3.1 3.5","3.1 3.5",,,DSP-02,POL-04,,,,,,,,8.3.2 ,"7.10 8.10",8.3.2 ,,"6.5.3.2 7.4.8",,,,,OP-3.3,Sec 4(D)(2)(k),,CT.DM-P5,,,,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,,,MP-6,MP-6,MP-6,3.4.14,MP-6,MP-6,MP-6,,MP-6,MP-6,,3.8.3,,,,,PR.IP-6,,,,9.4.6,9.4.6,9.4.6,9.4.6,9.4.6,9.4.6,9.4.6,9.4.6,9.4.6,9.4.1,D.4.3,,,,,,ASSET-2.H.MIL3,KIM:SG4.SP3,,5.8.4,,,,MP.L1-b.1.vii,,,MP-6,,,,52.204-21(b)(1)(vii),,,,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,,D1.G.IT.B.19,,,314.4(c)(6)(i),,5.S.C,"4.M.C 5.M.D","4.M.C 5.M.D 9.L.C","2.D.7 2.F.1 2.F.3 MP-6",,,"8-301 8-608","10.3 10.4 18.5 19.5",,,,,,MP-6,MP-6,MP-6,,"45.48.500 45.48.510",,,,,,,Sec 40(b)(1),,,,,,38-99-20(D)(2)(k),Sec. 521.052(b),,MP-6,MP-6,MP-6,,,,,,,,,Art 24,,,,,,,,,,PI-03,,,,15.4,,,,,,,,,,,,,,3.3.11,,2-6-1-3,,,,,8.5.5 [MP.SI.5],,,,,,,,Chapter29-Schedule1-Part1-Principle 5,,,,,,,"1550 0311 1217 0315 1218 0312 0363 1361 1160 1517 0368 0840 0839 0374 0375 0378",,,,,,,,,,,8.3.2,,,"11.7.35.C.01 12.6.6.C.01 12.6.6.C.02 12.6.7.C.01 12.6.7.C.02 13.5.23.C.01 13.5.24.C.01 13.5.24.C.02 13.5.24.C.03 13.5.24.C.04 13.5.25.C.01 13.5.26.C.01 13.5.26.C.02 13.5.26.C.03 13.5.29.C.01 13.5.29.C.02 13.5.30.C.01",,,,,11.1.7,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 NAIC",,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,System Media Sanitization,DCH-09,"Mechanisms exist to sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse.",,"E-AST-03 E-DCH-07","Does the organization sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse?",10,Protect,,X,X,"There is no evidence of a capability to sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse.","SP-CMM1 is N/A, since a structured process is required to sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-system media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • An ITAM function, or similar function, ensures sanitization equipment and procedures are tested to verify that the intended result is achieved. ","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to sanitize system media with the strength and integrity commensurate with the classification or sensitivity of the information prior to disposal, release out of organizational control or release for reuse.",CC6.5,"CC6.5-POF2 C1.2-POF2",,"3.1 3.5","3.1 3.5","3.1 3.5","3.1 3.5",APO14.07,,,,,,"CR 4.2 (8.4.3(1)) CR 4.2 (8.4.3(2))",,,,,,8.10,,,7.4.8,,,,,,Sec 4(D)(2)(k),,,,,,"MP-6 MP-6(3)",MP-6,MP-6,"MP-6 MP-6(3)","MP-6 MP-6(3)",MP-6,MP-6,MP-6,"MP-6 MP-6(3)",,,MP-6,MP-6,"MP-6 MP-6(3)",,MP-6,MP-6,MP-6,,MP-6,MP-6,"3.7.3 3.8.3","3.7.4.d 3.7.4.d.2 3.8.3","3.7.3 3.8.3[a] 3.8.3[b]",A.03.08.03,,,PR.IP-6,,,"9.8 9.8.1 9.8.2",9.4.7,,,,,,,9.4.7,9.4.7,,D.4.3.2,,,,,,ASSET-2.H.MIL3,KIM:SG4.SP3,,5.8.3,MP.L1-3.8.3,"MA.L2-3.7.3 MP.L1-3.8.3","MA.L2-3.7.3 MP.L1-3.8.3",MP.L1-b.1.vii,"MA.L2-3.7.3 MA.L2-3.8.3","MA.L2-3.7.3 MA.L2-3.8.3",MP-6,,,,52.204-21(b)(1)(vii),,,,MP-6 ,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,MP-6,,,,,,,,"4.M.C 5.M.D","4.M.C 5.M.D","2.D.7 2.F.1 2.F.3 2.F.3.1 MP-6",,"CIP-011-2 R2","8-301 8-608",,,,,,5.8,MP-6,MP-6,MP-6,,"45.48.500 45.48.510",,,,,,,Sec 40(b)(2),,,,,"622(2)(d)(C)(i) 622(2)(d)(C)(iv) ",38-99-20(D)(2)(k),,,MP-6,MP-6,MP-6,,,,,,,,,,,,,,,,,,,,,,,15.4,,,,,,,,,,,,,"TPC-19 TPC-66",,,2-6-1-3,,,,,8.7.6 [MP.INFO.6],,,,,B3.e,,,,,,,,,,"0313 1600 0947 0348 0351 0352 0835 1065 0354 1067 0356 0357 0836 0358 0359 0360 0361 0362 1735",,,,,,,,,,,,,,"13.4.9.C.01 13.4.11.C.01 13.4.12.C.01 13.4.13.C.01 13.4.13.C.02 13.4.13.C.03 13.4.13.C.04 13.4.13.C.05 13.4.14.C.01 13.4.15.C.01 12.6.5.C.05 13.4.19.C.02 13.4.16.C.01 13.4.17.C.01 13.4.18.C.01 13.4.19.C.01 13.4.20.C.01 13.4.20.C.02 13.4.20.C.03 13.4.21.C.01 13.4.22.C.01",,,,,11.1.7,,,,,,6.17,,,,,,,,,,,,,,,"FAR 52.204-21 NAIC OR 6464A",,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- renamed control - wordsmithed control" Data Classification & Handling ,System Media Sanitization Documentation,DCH-09.1,"Mechanisms exist to supervise, track, document and verify system media sanitization and disposal actions. ",- Certificate of destruction,"E-AST-03 E-DCH-07","Does the organization supervise, track, document and verify system media sanitization and disposal actions? ",7,Protect,,X,,"There is no evidence of a capability to supervise, track, document and verify system media sanitization and disposal actions. ","SP-CMM1 is N/A, since a structured process is required to supervise, track, document and verify system media sanitization and disposal actions. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to supervise, track, document and verify system media sanitization and disposal actions. ",,,,,,,,APO14.07,,,,,,,,,,,,8.10,,,7.4.8,,,,,,,,,,,,MP-6(1),,,MP-6(1),MP-6(1),,,,MP-6(1),,,,,MP-6(1),,,,,,,,,,,,,,,,,9.7.1,9.4.7,,,,,,,9.4.7,9.4.7,,D.4.3.4,,,,,,,,,5.8.3,,,,,,,MP-6(1),,,,,,,,MP-6(1),,,MP-6(1),,MP-6(1),,,MP-6(1),,,,,,,,,,,MP-6(1),,,,,,,,,5.8,,MP-6(1),MP-6(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,15.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0316 0363 0370 0371 0372 0373",,,,,,,,,,,,,,"13.5.22.C.01 13.5.27.C.01 13.5.27.C.02 13.5.27.C.03 13.5.28.C.01 13.5.28.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- renamed control - wordsmithed control" Data Classification & Handling ,Equipment Testing,DCH-09.2,Mechanisms exist to test sanitization equipment and procedures to verify that the intended result is achieved. ,,,Does the organization test sanitization equipment and procedures to verify that the intended result is achieved? ,5,Detect,,X,X,There is no evidence of a capability to test sanitization equipment and procedures to verify that the intended result is achieved. ,"SP-CMM1 is N/A, since a structured process is required to test sanitization equipment and procedures to verify that the intended result is achieved. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to test sanitization equipment and procedures to verify that the intended result is achieved. ",,,,,,,,,,,,,,,,,,,,,,,7.4.8,,,,,,,,,,,,MP-6(2),,,MP-6(2),MP-6(2),,,,MP-6(2),,,,,MP-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.2,,,,,,,,,,,,,,,,MP-6(2),,,,,,,,MP-6(2) ,,MP-6(2) ,MP-6(2) ,,MP-6(2),,,MP-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MP-6(2),,,,,,,,,,,,,,,,,,,,,,,15.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,13.4.23.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Sanitization of Personal Data (PD),DCH-09.3,Mechanisms exist to facilitate the sanitization of Personal Data (PD).,- De-identifying PI,,Does the organization facilitate the sanitization of Personal Data (PD)?,9,Protect,,X,X,There is no evidence of a capability to facilitate the sanitization of Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to facilitate the sanitization of Personal Data (PD).","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the sanitization of Personal Data (PD).",P4.3,,,,,,,APO14.07,,,,,,,,,,,,8.10,,,7.4.8,,,,,,,,CT.DM-P5,,,,,,,,"MP-6 MP-6(3)",MP-6,MP-6,MP-6,"MP-6 MP-6(3)",,,MP-6,MP-6,"MP-6 MP-6(3)",,MP-6,MP-6,MP-6,,MP-6,MP-6,,,,,,,,,,,,,,,,,,,,,P.7.7,,,,,,ASSET-2.H.MIL3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2.D.7 2.F.1 2.F.3 2.F.3.1 MP-6",,,,,,,,,"5.5 5.9",,,,,45.48.500,,,,,,,,,,,,,,,,MP-6,,,,,,,,,Art 5.1,,Art 24,,,,,,,,,,,,,,15.4,,,,,,,,,,,,,,,,,,,Sec 16.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 4.7 Art 16.7 Art 25.2",,,Art 16,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,First Time Use Sanitization,DCH-09.4,Mechanisms exist to apply nondestructive sanitization techniques to portable storage devices prior to first use.,,,Does the organization apply nondestructive sanitization techniques to portable storage devices prior to first use?,5,Protect,,X,X,There is no evidence of a capability to apply nondestructive sanitization techniques to portable storage devices prior to first use.,"SP-CMM1 is N/A, since a structured process is required to apply nondestructive sanitization techniques to portable storage devices prior to first use.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to apply nondestructive sanitization techniques to portable storage devices prior to first use.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to apply nondestructive sanitization techniques to portable storage devices prior to first use.",,,,,,,,APO14.07,,,,,,,,,,,,,,,7.4.8,,,,,,,,,,,,MP-6(3),,,MP-6(3),MP-6(3),,,,MP-6(3),,,,,MP-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,L.23.4,,,,,,,,,,,,,,,,,,,,,,,,MP-6(3),,,MP-6(3),,MP-6(3),,,MP-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1600 1642",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Dual Authorization for Sensitive Data Destruction,DCH-09.5,"Mechanisms exist to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data.",,,"Does the organization enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data?",5,Protect,,X,X,"There is no evidence of a capability to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data.","SP-CMM1 is N/A, since a structured process is required to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data.","SP-CMM2 is N/A, since a well-defined process is required to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce dual authorization for the destruction, disposal or sanitization of digital media that contains sensitive / regulated data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MP-6(7),,,,MP-6(7),,,,,MP-6(7),,,,,,,,,,,,,,,,3.1.1e,,,,,,,,,,,,,,,,D.4.3.2,,,,,,,,,,,,TBD - 3.1.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Media Use,DCH-10,Mechanisms exist to restrict the use of types of digital media on systems or system components. ,,,Does the organization restrict the use of types of digital media on systems or system components? ,8,Protect,,X,,There is no evidence of a capability to restrict the use of types of digital media on systems or system components. ,"SP-CMM1 is N/A, since a structured process is required to restrict the use of types of digital media on systems or system components. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the use of types of digital media on systems or system components. ",CC6.7,,,,,,,,,,,,,,,,,,8.3.1 ,7.10,8.3.1 ,,6.5.3.1,,,,"T1025, T1052, T1052.001, T1091, T1092, T1200",,,,,,,,"MP-7 SC-8(2)",MP-7,MP-7,MP-7,"MP-7 SC-8(2)",,MP-7,MP-7,MP-7,SC-8(2),,MP-7,MP-7,MP-7,,,,,,,,3.8.7,"3.8.7.a 3.8.7.b",3.8.7,"A.03.08.07.a A.03.08.07.ODP[01]",,,,,,,,,,,,,,,,,D.3,,,,,,,"KIM:SG2.SP2 TM:SG2.SP2",,,,MP.L2-3.8.7,MP.L2-3.8.7,,MP.L2-3.8.7,MP.L2-3.8.7,"MP-7 SC-8(2)",,,,,,,,"MP-7 MP-7(1) ",MP-7 ,"MP-7 MP-7(1) ","MP-7 MP-7(1) ",MP-7 ,MP-7,MP-7,MP-7,MP-7,MP-7,,,,,,,,,,MP-7,,,"8-306 8-310",,,,,,,,,,,,,,,,,,,,,,,,,,,MP-7,MP-7,MP-7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-3-2,,,,,,,,,,,,,,,,,,,,,"0341 0343",,,,,,,,,,,8.3.1,,,13.3.4.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Limitations on Use ,DCH-10.1,Mechanisms exist to restrict the use and distribution of sensitive / regulated data. ,,,Does the organization restrict the use and distribution of sensitive / regulated data? ,10,Protect,,X,,There is no evidence of a capability to restrict the use and distribution of sensitive / regulated data. ,"SP-CMM1 is N/A, since a structured process is required to restrict the use and distribution of sensitive / regulated data. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research. ","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • Administrative processes and technologies: o Collect Personal data (PD) directly from the individual. o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. o De-identify the dataset up on collection by not collecting Personal data (PD). o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA). o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. o Remove Personal data (PD) from datasets. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA. o Identify custodians throughout the transport of system media. o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA. o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA). o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,7.10,,,7.4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.5.a 3.1.5.b 3.8.4",,A.03.01.02,,,,,,,,,,,,,,,,,D.3.1,,,,,,,,,,,,,,,,,,252.204-7009,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0341 0343",,,,,,,,,,,,,,13.3.4.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Prohibit Use Without Owner,DCH-10.2,Mechanisms exist to prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner.,,,Does the organization prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner?,5,Protect,,X,X,There is no evidence of a capability to prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner.,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the use of portable storage devices in organizational information systems when such devices have no identifiable owner.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MP-7(1),,,,MP-7,,MP-7,MP-7,MP-7,,,MP-7,MP-7,MP-7,,,,,,,,3.8.8,3.8.7.b,3.8.8,A.03.08.07.b,,,,,,,,,,,,,,,,,D.3.5,,,,,,,,,,,MP.L2-3.8.8,MP.L2-3.8.8,,MP.L2-3.8.8,MP.L2-3.8.8,MP-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,MP-7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MP-7,,MP-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Data Reclassification ,DCH-11,"Mechanisms exist to reclassify data, including associated systems, applications and services, commensurate with the security category and/or classification level of the information.",,,"Does the organization reclassify data, including associated systems, applications and services, commensurate with the security category and/or classification level of the information?",8,Protect,,X,X,"There is no evidence of a capability to reclassify data, including associated systems, applications and services, commensurate with the security category and/ or classification level of the information.","SP-CMM1 is N/A, since a structured process is required to reclassify data, including associated systems, applications and services, commensurate with the security category and/ or classification level of the information.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MP-8,,,,"MP-8 MP-8(3)",,,,,"MP-8 MP-8(3)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.7.1,,,,,,,KIM:SG4.SP3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-310,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0330,,,,,,,,,,,,,,"13.2.10.C.01 13.2.11.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Removable Media Security,DCH-12,Mechanisms exist to restrict removable media in accordance with data handling and acceptable usage parameters.,,,Does the organization restrict removable media in accordance with data handling and acceptable usage parameters?,10,Protect,X,X,X,There is no evidence of a capability to restrict removable media in accordance with data handling and acceptable usage parameters.,"SP-CMM1 is N/A, since a structured process is required to restrict removable media in accordance with data handling and acceptable usage parameters.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict removable media in accordance with data handling and acceptable usage parameters.",CC6.7,CC6.7-POF3,,,,,,,,,,,,,,,,,8.3.1,7.10,8.3.1,,6.5.3.1,,,,,,,,PR.PT-P1,,,,,,,,,,,,,,,,,,,,,,,,,,3.8.7.b,,,,,PR.PT-2,,,,,,,,,,,,,,D.3.5,,,,,,ARCHITECTURE-5.G.MIL3,,2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,"D1.G.SP.B.4 D3.PC.De.B.1 D3.PC.Im.E.3",,,,,,,,,,"CIP-010-2 R4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.24,,,,,,,,,,,,,,,2-3-3-2,,,,,,,,,,,,,,,,,,,,,"1359 1713",,,,,,,,,,,8.3.1,,,"13.3.6.C.01 13.3.6.C.02 13.3.6.C.03 13.3.10.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Use of External Information Systems ,DCH-13,"Mechanisms exist to govern how external parties, systems and services are used to securely store, process and transmit data. ",,,"Does the organization govern how external parties, systems and services are used to securely store, process and transmit data? ",9,Protect,X,X,X,"There is no evidence of a capability to govern how external parties, systems and services are used to securely store, process and transmit data. ","SP-CMM1 is N/A, since a structured process is required to govern how external parties, systems and services are used to securely store, process and transmit data. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.7,,,,,,,,,,,,,,,,,,,,,,,,,,"T1020.001, T1021, T1021.001, T1021.004, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1072, T1078.002, T1078.004, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1114, T1114.001, T1114.002, T1114.003, T1119, T1133, T1134.005, T1136, T1136.001, T1136.002, T1136.003, T1200, T1530, T1537, T1539, T1550.001, T1552, T1552.004, T1552.005, T1556, T1556.001, T1556.003, T1556.004, T1557, T1557.002, T1565, T1565.001, T1565.002, T1567, T1567.001, T1567.002, T1602, T1602.001, T1602.002",,,,,,,,AC-20,AC-20,AC-20,AC-20,AC-20,,AC-20,AC-20,AC-20,,,AC-20,AC-20,AC-20,,AC-20,AC-20,AC-20,AC-20,AC-20,AC-20,3.1.20,"3.1.20.a 3.1.20.b 3.1.20.c 3.1.20.c.1 3.1.20.c.2 3.1.20.d","3.1.20[a] 3.1.20[b] 3.1.20[c] 3.1.20[d] 3.1.20[e] 3.1.20[f]","A.03.01.20.a A.03.01.20.b[01] A.03.01.20.b[02] A.03.01.20.c.01 A.03.01.20.c.02 A.03.01.20.ODP[01] A.03.01.20.ODP[02]",,,ID.AM-4,,,,,,,,,,,,,,P.9.2,,5.3.4,,,,,EXD:SG3.SP1,,,AC.L1-3.1.20,AC.L1-3.1.20,AC.L1-3.1.20,AC.L1-b.1.iii,AC.L2-3.1.20,AC.L2-3.1.20,AC-20,,,,52.204-21(b)(1)(iii),,,,AC-20 ,AC-20 ,AC-20 ,AC-20 ,AC-20 ,AC-20,AC-20,AC-20,AC-20,AC-20,,,,,,,,,,AC-20,,,8-700,,6.4,,,,,AC-20 ,AC-20 ,AC-20 ,,,,,,,,,,,,,,,,,,AC-20,AC-20,AC-20,,,,,,,,,,,,,,,,,,,,,,,11.6,,,,,,,,,,,,,,,4-2-3-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Limits of Authorized Use ,DCH-13.1,"Mechanisms exist to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first: ▪ Verifying the implementation of required security controls; or ▪ Retaining a processing agreement with the entity hosting the external systems or service.",,,"Does the organization prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first: ▪ Verifying the implementation of required security controls; or ▪ Retaining a processing agreement with the entity hosting the external systems or service?",8,Protect,,X,X,"There is no evidence of a capability to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first: ▪ Verifying the implementation of required security controls; or ▪ Retaining a processing agreement with the entity hosting the external systems or service.","SP-CMM1 is N/A, since a structured process is required to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first: ▪ Verifying the implementation of required security controls; or ▪ Retaining a processing agreement with the entity hosting the external systems or service.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first: ▪ Verifying the implementation of required security controls; or ▪ Retaining a processing agreement with the entity hosting the external systems or service.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit external parties, systems and services from storing, processing and transmitting data unless authorized individuals first: ▪ Verifying the implementation of required security controls; or ▪ Retaining a processing agreement with the entity hosting the external systems or service.",,,,3.3,3.3,3.3,3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-20(1),,AC-20(1),AC-20(1),AC-20(1),,,AC-20(1),AC-20(1),,,,AC-20(1),AC-20(1),,AC-20(1),,,,AC-20(1),AC-20(1),3.1.20,"3.1.20.a 3.1.20.b 3.1.20.c 3.1.20.c.1 3.1.20.c.2 3.1.20.d",,,,,,,,,,,,,,,,,,,P.9.2,,,,,,,,,,AC.L1-3.1.20,AC.L1-3.1.20,,AC.L1-b.1.iii,AC.L2-3.1.20,AC.L2-3.1.20,AC-20(1),,,,52.204-21(b)(1)(iii),,,,AC-20(1) ,,AC-20(1) ,AC-20(1) ,,AC-20(1),,AC-20(1),AC-20(1),,,,,,,,,,,,,,,,,,,,,,AC-20(1) ,AC-20(1) ,,,,,,,,,,,,,,,,,,,,AC-20(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Portable Storage Devices,DCH-13.2,Mechanisms exist to restrict or prohibit the use of portable storage devices by users on external systems. ,,,Does the organization restrict or prohibit the use of portable storage devices by users on external systems? ,9,Protect,,X,X,There is no evidence of a capability to restrict or prohibit the use of portable storage devices by users on external systems. ,"SP-CMM1 is N/A, since a structured process is required to restrict or prohibit the use of portable storage devices by users on external systems. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict or prohibit the use of portable storage devices by users on external systems. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict or prohibit the use of portable storage devices by users on external systems. ",CC6.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"AC-20(2) AC-20(5)",,AC-20(2),AC-20(2),"AC-20(2) AC-20(5)",,,AC-20(2),AC-20(2),,,,AC-20(2),AC-20(2),,,,,,,,3.1.21,"3.1.20.a 3.1.20.c 3.1.20.c.1 3.1.20.c.2 3.1.20.d 3.8.7.b","3.1.21[a] 3.1.21[b] 3.1.21[c]",A.03.01.20.d,,,,,,,,,,,,,,,,,M.1.28,,,,,,,,2.4,4.2.4,,AC.L2-3.1.21,AC.L2-3.1.21,AC.L1-b.1.iii,AC.L2-3.1.21,AC.L2-3.1.21,AC-20(2),,,,52.204-21(b)(1)(iii),,,,AC-20(2) ,,AC-20(2) ,AC-20(2) ,,AC-20(2),,AC-20(2),AC-20(2),,,,,,,,,,,"AC-20(2) AC-20(5)",,,,10.7,,,,,,,,AC-20(2) ,,,,,,,,,,,,,,,,,,,,AC-20(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5-1-3-5,"2-3-1-8 2-3-1-9",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"13.3.7.C.01 13.3.7.C.02 13.3.8.C.01 13.3.8.C.02 13.3.9.C.01 13.3.9.C.02 13.3.10.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Protecting Sensitive Data on External Systems,DCH-13.3,"Mechanisms exist to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations.",- NIST 800-171 Compliance Criteria (NCC) (ComplianceForge),,"Does the organization ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations?",10,Protect,X,X,X,"There is no evidence of a capability to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations.","SP-CMM1 is N/A, since a structured process is required to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that the requirements for the protection of sensitive information processed, stored or transmitted on external systems, are implemented in accordance with applicable statutory, regulatory and contractual obligations.",,,,,,,,,,DSP-17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PM-17,PM-17,,,,,,,,,,PM-17,,,,PM-17,,,,,,,,,,,,,,,,,,,,,,P.7.5,,,,,,,,,,,,,AC.L1-b.1.iii,,,,,,,52.204-21(b)(1)(iii),,,,,,,,,,,,,,,,,,,,,,,,,,,,6.4,,,,,,,,,,,,,6-1-1308(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Non-Organizationally Owned Systems / Components / Devices,DCH-13.4,"Mechanisms exist to restrict the use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information.",,,"Does the organization restrict the use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information?",5,Protect,,X,X,"There is no evidence of a capability to restrict the use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information.","Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the use of non-organizationally owned information systems, system components or devices to process, store or transmit organizational information.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-20(3),,,,AC-20(3),,,,,AC-20(3),,,,,,AC-20(3),,,,AC-20(3),AC-20(3),,"3.1.20.a 3.1.20.c 3.1.20.c.1 3.1.20.c.2 3.1.20.d",,,3.1.2e,,,,,,,,,,,,,,,,M.1.16,,,,,,,,,,,,TBD - 3.1.2e,,,AC.L3-3.1.2e,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-20(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Information Sharing ,DCH-14,Mechanisms exist to utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected.,"- ShareFile - SmartVault - Veris (incident sharing) (http://veriscommunity.net)",,Does the organization utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected?,9,Protect,X,X,,There is no evidence of a capability to utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected.,"SP-CMM1 is N/A, since a structured process is required to utilize a process to assist users in making information sharing decisions to ensure data is appropriately protected.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.7,,,3.3,3.3,3.3,3.3,,,DSP-10,,,,,RQ-05-09,,,,"13.2 13.2.1 13.2.2 ",5.14,"13.2 13.2.1 13.2.2 ",,"6.10.2 6.10.2.1 6.10.2.2 7.4.9 8.4.3",,,,"T1213, T1213.001, T1213.002",,,,,,,,AC-21,,AC-21,AC-21,AC-21,,,AC-21,AC-21,,,,AC-21,AC-21,,AC-21,,,AC-21,AC-21,,,,,,,,,,,,,,,,,,,,,,P.9.1,"2.1 2.11A",,,,,,"KIM:SG2.SP1 KIM:SG2.SP2",,"5.1 5.1.1 5.1.1.2 5.1.1.3 5.1.1.4 5.1.1.5 5.1.1.6 5.1.1.7 5.1.1.8 5.1.4",,,,,,,AC-21,,,,,,,,AC-21 ,,AC-21 ,AC-21 ,,AC-21,,AC-21,AC-21,,,,,,,,,,,AC-21,120.54(a)(5),,,,,,,,,,,AC-21 ,,45.48.420 45.48.430,,,,"6-1-1307(2) 6-1-1307(3)",,,,,,,,,,,,,,AC-21,,,,,,,Art 46,,,,,,,,,,,,,,,,"5.4 10.5",,,,,,,,,,,,,,,,,,,Sec 72,,,,,,,B3.b,,,,,,,,,,"0663 0661 0665 0664 0675 0657 1187 0669 1535",,,,,,,,,,,"13.2 13.2.1 13.2.2",,,"20.1.6.C.01 20.1.6.C.02 20.1.7.C.01 20.1.7.C.02 20.1.8.C.01 20.1.9.C.01 20.1.10.C.01 20.1.10.C.02 20.1.11.C.01 20.1.12.C.01 20.1.13.C.01 20.2.3.C.01 20.2.4.C.01 20.2.5.C.01 20.2.6.C.01 20.2.6.C.02 20.2.6.C.03 20.2.7.C.01 20.2.8.C.01 20.2.9.C.01 20.2.9.C.02 20.2.9.C.03 20.2.9.C.04 20.2.10.C.01 20.2.10.C.02 20.2.11.C.01 20.2.11.C.02 20.2.11.C.03",,,,,,,,,,,,,,,,,,,,,Art 23,,,,x,,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Information Search & Retrieval,DCH-14.1,Mechanisms exist to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions.,,,Does the organization ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions?,5,Protect,,X,X,There is no evidence of a capability to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions.,"SP-CMM1 is N/A, since a structured process is required to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure information systems implement data search and retrieval functions that properly enforce data protection / sharing restrictions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-21(2),,,,AC-21(2),,,,,AC-21(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Transfer Authorizations,DCH-14.2,"Mechanisms exist to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data.",,,"Does the organization verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data?",8,Protect,,X,,"There is no evidence of a capability to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data.","SP-CMM1 is N/A, since a structured process is required to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify that individuals or systems transferring data between interconnecting systems have the requisite authorizations (e.g., write permissions or privileges) prior to transferring said data.",,,,3.3,3.3,3.3,3.3,,,DSP-10,,,,,,,,,,,,,,,,,,TS-1.15,,,,,,,,,,,CA-3(6),,,,CA-3(6),,,,,CA-3(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,N.11.1,"2.4A 2.5A 2.9",,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-3(6),,,CA-3(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,25(h),,,,,,,,,2-6-1-5,,,,,"Article 64 Article 64.1 Article 64.2 Article 64.3 Article 64.4",,,,,,,,,B3.b,,,,,,,,,,,,,,,,,,,,,,,,"20.1.8.C.01 20.2.4.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Data Access Mapping,DCH-14.3,Mechanisms exist to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared.,,,Does the organization develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared?,9,Identify,X,X,,There is no evidence of a capability to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared.,"SP-CMM1 is N/A, since a structured process is required to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop a data-specific Access Control List (ACL) or Data Information Sharing Agreement (DISA) to determine the parties with whom sensitive/regulated data is shared.",,,,3.3,3.3,3.3,3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B3.a,,,,,,,,,,,,,,,,,,,,,,,,"16.2.5.C.01 16.2.6.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- wordsmithed control Data Classification & Handling ,Publicly Accessible Content,DCH-15,Mechanisms exist to control publicly-accessible content.,"- Designate individuals authorized to post information onto systems that are publicly accessible. - Train authorized individuals to ensure that publicly accessible information does not contain nonpublic information. - Review the proposed content of publicly accessible information for nonpublic information prior to posting. - Remove nonpublic information from the publicly accessible system.",,Does the organization control publicly-accessible content?,10,Protect,,X,X,There is no evidence of a capability to control publicly-accessible content.,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control publicly-accessible content.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-22,AC-22,AC-22,AC-22,AC-22,,AC-22,AC-22,AC-22,,,AC-22,AC-22,AC-22,,AC-22,AC-22,,,AC-22,AC-22,3.1.22,"3.1.22.a 3.1.22.b","3.1.22[a] 3.1.22[b] 3.1.22[c] 3.1.22[d] 3.1.22[e]","A.03.01.22.a A.03.01.22.b[01] A.03.01.22.b[02]",,,,,,,1.4.4,,1.4.4,,,,,1.4.4,1.4.4,,D.12.1,,,,,,,"ID:SG1.SP2 KIM:SG1.SP2",,,AC.L1-3.1.22,AC.L1-3.1.22,AC.L1-3.1.22,AC.L1-b.1.iv,AC.L2-3.1.22,AC.L2-3.1.22,AC-22,,,,52.204-21(b)(1)(iv),,,,AC-22 ,AC-22 ,AC-22 ,AC-22 ,AC-22 ,AC-22,AC-22,AC-22,AC-22,AC-22,,,,,,,,,,"3.3.8 AC-22",120.11,,,,6.5,,,,,,,AC-22 ,,,,,,,,,,,,,,,,,,AC-22,AC-22,AC-22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Data Mining Protection,DCH-16,Mechanisms exist to protect data storage objects against unauthorized data mining and data harvesting techniques. ,,,Does the organization protect data storage objects against unauthorized data mining and data harvesting techniques? ,7,Protect,,X,X,There is no evidence of a capability to protect data storage objects against unauthorized data mining and data harvesting techniques. ,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect data storage objects against unauthorized data mining and data harvesting techniques. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1005, T1025, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1133, T1213, T1213.001, T1213.002, T1552.007, T1567",,,,,,,,AC-23,,,,AC-23,,,,,AC-23,,,,,,AC-23,,AC-23,,AC-23,AC-23,,,,,,,,,,,,,,,,,,,,,D.3,,,,,,,"KIM:SG2.SP2 KIM:SG4.SP2",,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,,AC-23,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"20.4.3.C.01 20.4.3.C.02 20.4.3.C.03 20.4.3.C.04 20.4.4.C.01 20.4.4.C.02 20.4.5.C.01 20.4.5.C.02 20.4.6.C.01 20.4.6.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Ad-Hoc Transfers ,DCH-17,Mechanisms exist to secure ad-hoc exchanges of large digital files with internal or external parties.,"- ShareFile - Box",,Does the organization secure ad-hoc exchanges of large digital files with internal or external parties?,8,Protect,,X,X,There is no evidence of a capability to secure ad-hoc exchanges of large digital files with internal or external parties.,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.7,CC6.7-POF1,,,,,,,,DSP-10,,,,,,,,,13.2.1,5.14,13.2.1,,,,,,,TS-1.15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.3E,,,,,,,,,,,,,,,,D.24.1,"2.1 2.4A 2.5A",,,,,,,,,,,,AC.L1-b.1.iii,,AC.L3-3.1.3e,,,,,52.204-21(b)(1)(iii),,,,,,,,,,,,,,,,,,,,,,,1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"5.1 5.4 10.5",,,,,,,,,,,,2-6-1-5,,,,,,,,,,,,,,B3.b,,,,,,,,,,"0347 0947 1778 1779",,,,,,,,,,,13.2.1,,,"20.1.11.C.01 20.2.6.C.01 20.2.6.C.02 20.2.6.C.03 20.2.7.C.01 20.2.8.C.01 20.2.9.C.01 20.2.9.C.02 20.2.9.C.03 20.2.9.C.04",,,,,,,,,,,,,,,,,,,,,Art 23,,,,,FAR 52.204-21,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Media & Data Retention ,DCH-18,"Mechanisms exist to retain media and data in accordance with applicable statutory, regulatory and contractual obligations. ",- Data Protection Impact Assessment (DPIA),E-AST-11,"Does the organization retain media and data in accordance with applicable statutory, regulatory and contractual obligations? ",8,Protect,,X,X,"There is no evidence of a capability to retain media and data in accordance with applicable statutory, regulatory and contractual obligations. ","Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to retain media and data in accordance with applicable statutory, regulatory and contractual obligations. ",PI1.5,PI1.5,,"3.1 3.4","3.1 3.4","3.1 3.4","3.1 3.4",APO14.09,,DSP-16,,,,,,,,,"8.3 18.1.3 ","5.33 8.10","8.3 18.1.3 ",,"6.5.3 6.15.1.3 7.4.7",,,,"T1003, T1003.003, T1020.001, T1040, T1070, T1070.001, T1070.002, T1114, T1114.001, T1114.002, T1114.003, T1119, T1530, T1548, T1548.004, T1550.001, T1552, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002","PS-1.1 TS-1.0",,,,,,,"MP-7 SI-12","MP-7 SI-12","MP-7 SI-12","MP-7 SI-12","MP-7 SI-12",SI-12,"MP-7 SI-12","MP-7 SI-12","MP-7 SI-12",,,"MP-7 SI-12","MP-7 SI-12","MP-7 SI-12",,SI-12,SI-12,,,,SI-12,,3.14.8,,"A.03.14.08[01] A.03.14.08[02] A.03.14.08[03] A.03.14.08[04]",3.14.5e,,,,,"3.1 3.2 3.2.1 3.2.2 3.2.3 10.7","3.2.1 9.4.6 9.4.7 10.5.1 11.4.1","3.2.1 9.4.6","3.2.1 9.4.6 10.5.1 11.4.1",9.4.6,9.4.6,"9.4.6 10.5.1",9.4.6,"3.2.1 9.4.6 9.4.7 10.5.1 11.4.1","3.2.1 9.4.6 9.4.7 10.5.1 11.4.1","3.2.1 9.4.6",D.4,,,,,,,"KIM:SG2.SP2 KIM:SG6.SP1 TM:SG2.SP2",,,,,TBD - 3.14.5e,,,,"MP-7 SI-12",,,,,,,"§ 11.2 § 11.2(a) § 11.2(a)(1) § 11.2(a)(2) § 11.10","MP-7 SI-12 ","MP-7 SI-12 ","MP-7 SI-12 ","MP-7 SI-12 ","MP-7 SI-12 ","MP-7 SI-12","MP-7 SI-12","MP-7 SI-12","MP-7 SI-12","MP-7 SI-12",,,Securities Exchange Act of 1934 (17 CFR §240.17a-4(f)),,314.4(c)(6)(ii),"164.316(b)(2) 164.316(b)(2)(i) 164.530(j)(1)",,,,"MP-7 SI-12",,,"8-306 8-310",,,,,,,SI-12 ,SI-12 ,SI-12 ,"IV.A IV.B IV.B.1 IV.B.2",,,,,,,,,,,500.12,,622(2)(C)(i) (iv) ,,,,"MP-7 SI-12","MP-7 SI-12","MP-7 SI-12",,,,,,,Art 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-6-1-4 2-11-2",,,,,Article 5.5,,Sec 9,,9,,,,,B3.a,,,Chapter29-Schedule1-Part1-Principle 3 & 5,,,,,,,"1510 0859 0991",,,,,,Article 19,,,,,"8.3 18.1.3 18.1.3.13.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,OR 6464A,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Minimize Personal Data (PD),DCH-18.1,Mechanisms exist to limit Personal Data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA).,- Data Protection Impact Assessment (DPIA),,Does the organization limit Personal Data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA)?,8,Protect,,X,,There is no evidence of a capability to limit Personal Data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA).,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • Data/process owners document where personal data is stored, transmitted and processed in order to document sensitive/regulated data flows. • Administrative processes and technologies: o Collect Personal data (PD) directly from the individual. o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. o De-identify the dataset up on collection by not collecting Personal data (PD). o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA). o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. o Remove Personal data (PD) from datasets. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA. o Identify custodians throughout the transport of system media. o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA. o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA). o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,"7.4.2 7.4.4",,,,,,,,,,,,,,,,SI-12(1),SI-12(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 2.3,,,,,,,,,,,,,,,,"Art 35.1 Art 35.2 Art 35.3 Art 35.6 Art 35.8 Art 35.9 Art 35.11",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,"Limit Personal Data (PD) Elements In Testing, Training & Research",DCH-18.2,"Mechanisms exist to minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA).",- Data Protection Impact Assessment (DPIA),,"Does the organization minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA)?",8,Protect,,X,X,"There is no evidence of a capability to minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA).","Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • Data/process owners document where personal data is stored, transmitted and processed in order to document sensitive/regulated data flows. • Administrative processes and technologies: o Collect Personal data (PD) directly from the individual. o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. o De-identify the dataset up on collection by not collecting Personal data (PD). o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA). o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. o Remove Personal data (PD) from datasets. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA. o Identify custodians throughout the transport of system media. o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA. o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA). o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to minimize the use of Personal Data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA).",,,,,,,,,,,,,,,,,,,,,,,7.4.4,5.5,,,,,,,,,,,,,,,"PM-25 SI-12(2) SA-8(33) SA-15(12)","PM-25 SI-12(2) SA-8(33)",,,,SA-15(12),,,,,,PM-25,,,,PM-25,,,,,,,,,,,,,,,,,,,,,,P.7.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-12(2),,,,,,,,,,,,,,,,,,6-1-1308(3),,,,,,,,,,,,,,,,,,,,,"Art 5.1 Art 35.1 Art 35.2 Art 35.3 Art 35.6 Art 35.8 Art 35.9 Art 35.11",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 5.1,,Sec 19,,,,,,,,,,,,,,,,,,,,,,,Article 6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Temporary Files Containing Personal Data (PD),DCH-18.3,Mechanisms exist to perform periodic checks of temporary files for the existence of Personal Data (PD).,,,Does the organization perform periodic checks of temporary files for the existence of Personal Data (PD)?,5,Protect,,,X,There is no evidence of a capability to perform periodic checks of temporary files for the existence of Personal Data (PD).,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • Data/process owners document where personal data is stored, transmitted and processed in order to document sensitive/regulated data flows. • Administrative processes and technologies: o Collect Personal data (PD) directly from the individual. o Correct Personal data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified. o De-identify the dataset up on collection by not collecting Personal data (PD). o Govern how data is reclassified due to changing business/technical requirements to ensure the integrity of data classification is upheld through the data lifecycle. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the Data Protection Impact Assessment (DPIA). o Refrain from archiving Personal data (PD) elements if those elements in a dataset will not be needed after the dataset is archived. o Remove Personal data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release. o Remove Personal data (PD) from datasets. o Limit Personal data (PD) being processed in the information lifecycle to elements identified in the DPIA. o Identify custodians throughout the transport of system media. o Minimize the use of Personal data (PD) for research, testing or training, in accordance with the DPIA. o Minimize the use of Personal data (PD) for research, testing, or training, in accordance with the Data Protection Impact Assessment (DPIA). o Perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,"7.4.6 8.4.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.4.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Geographic Location of Data,DCH-19,"Mechanisms exist to inventory, document and maintain data flows for data that is resident (permanently or temporarily) within a service's geographically distributed applications (physical and virtual), infrastructure, systems components and/or shared with other third-parties.",,E-AST-23,"Does the organization inventory, document and maintain data flows for data that is resident (permanently or temporarily) within a service's geographically distributed applications (physical and virtual), infrastructure, systems components and/or shared with other third-parties?",9,Identify,,X,X,"There is no evidence of a capability to inventory, document and maintain data flows for data that is resident (permanently or temporarily) within a service's geographically distributed applications (physical and virtual), infrastructure, systems components and/ or shared with other third-parties.","Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • DPO maintains a centralized repository of sensitive Personal Data (sPD) data flows.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,DSP-19,,,,,,,,,,,,,"7.5 7.5.1 7.5.2 8.5.1 8.5.2",,,,,,,,,,,,SA-9(5),,,,"SA-9(5) SA-9(8)",,,,,"SA-9(5) SA-9(8)",,,,,,,,,,,,,"3.4.11.a 3.4.11.c",,,,,,,,,,,,,,,,,,,P.2.3,,,,,,,,,,,,,,,,SA-9(5),,,,,,,,SA-9(5),,SA-9(5),SA-9(5),,SA-9(5),,SA-9(5),SA-9(5),,,,,,,,,,,"2.C.7 SA-9(5) SA-9(8)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-9(5),,,,,,,,,,,,,,,,,,,,,,,11.6,,,25(h),,,,,,,Article 15,,,TPC-30,,,,,,,,,,,,,,,,,"Article 3 Article 44 Article 45(1) Article 45(2)(a) Article 45(2)(b) Article 45(2)(c) Article 46(1) Article 46(2)(a) Article 46(2)(b) Article 46(2)(c) Article 46(2)(d) Article 46(2)(e) Article 46(2)(f) Article 46(3)(a) Article 46(3)(b)",,,,,APP 8,,,,,,,"Article 38 Article 39 Article 40",,,,Article 24(1),,,,,,,,,,,,,,,,,,,,,,,,,Art 23,,,,x,,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Archived Data Sets ,DCH-20,"Mechanisms exist to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. ",,,"Does the organization protect archived data in accordance with applicable statutory, regulatory and contractual obligations? ",8,Protect,,X,,"There is no evidence of a capability to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. ","SP-CMM1 is N/A, since a structured process is required to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.4.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Information Disposal,DCH-21,"Mechanisms exist to securely dispose of, destroy or erase information.","- Shred-it - IronMountain",,"Does the organization securely dispose of, destroy or erase information?",10,Protect,X,X,X,"There is no evidence of a capability to securely dispose of, destroy or erase information.","SP-CMM1 is N/A, since a structured process is required to securely dispose of, destroy or erase information.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research. • Physical controls, administrative processes and technologies: o Physically secure all media that contains sensitive/regulated data. o Restrict access to digital and non-digital media to authorized individuals. o Restrict the types, usage and distribution of digital media. o Securely dispose of, destroy or erase information.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely dispose of, destroy or erase information.","CC6.5 C1.2 P4.3","CC6.5-POF2 C1.2-POF2 P4.3-POF2 P4.3-POF3",,3.5,3.5,3.5,3.5,,,,POL-04,,,,,,,,,8.10,,,"7.4.8 8.4.2",,,,,OP-3.3,,,CT.DM-P5,,,,DM-2,,,,SI-12(3),SI-12(3),,,,,,,,,3.4.14,,,,,,,,3.8.3,,,,,,PR.DS-09,,,,,,,,,,,,,D.4.3,,,,,,ASSET-2.H.MIL3,KIM:SG4.SP3,,,,,,MP.L1-b.1.vii,,,DM-2,,,,52.204-21(b)(1)(vii),,,,,,,,,,,,,,,,,,314.4(c)(6)(i),,,,9.L.C,"2.F.1 2.F.3",,,,,,,,,5.8,,,,,"45.48.500 45.48.510",,,,,,,"Sec 40(a) Sec 40(b) Sec 40(b)(1) Sec 40(b)(2) Sec 40(c) Sec 40(d) Sec 40(e) Sec 40(f)",,,,,,,Sec. 521.052(b),,,,,,,,,,,,,Art 24,,,,,,,,,,PI-03,,,,"11.12 15.4",,,,,,,,,,,,,,3.3.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.1.7,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Data Quality Operations,DCH-22,"Mechanisms exist to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle.",- Data Protection Impact Assessment (DPIA),,"Does the organization check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle?",5,Protect,X,X,,"There is no evidence of a capability to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle.","SP-CMM1 is N/A, since a structured process is required to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle.","SP-CMM2 is N/A, since a well-defined process is required to check for the accuracy, relevance, timeliness, impact, completeness and de-identification of information across the information lifecycle.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC2.1,,,,,,,"APO11.01 APO11.02 APO11.03 APO11.04 APO11.05",Principle 13,,,,9.2.1,,RQ-05-11,,,,,,,A.6,,,,,,,,,,,,,DI-1,,,,"PM-22 SI-18 SI-18(1)","PM-22 SI-18",,,,SI-18(1),,,,,,PM-22,,,PM-22,PM-22,,,,,,,,,,,,,,,,,,,,,,P.5.3,,,,,,,"KIM:SG5.SP2 KIM:SG5.SP3",,,,,,,,,DI-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Chapter29-Schedule1-Part1-Principle 1,,,,,,,,,,,,,Article 8,,,,,,,,,,,,,"5.8.1 5.8.2",,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Updating & Correcting Personal Data (PD),DCH-22.1,"Mechanisms exist to utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.",- Data Protection Impact Assessment (DPIA),,"Does the organization utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified?",6,Protect,,X,,"There is no evidence of a capability to utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.","SP-CMM1 is N/A, since a structured process is required to utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize technical controls to correct Personal Data (PD) that is inaccurate or outdated, incorrectly determined regarding impact, or incorrectly de-identified.","P5.1 P5.2",,,,,,,,,,,,"6.2.5 6.2.6 10.2.1 10.2.2",,,,,,,,,,7.3.6,5.9,,,,,,,CT.DM-P3,,,,IP-3,,,,"SI-18(4) SI-18(5)",SI-18(4),,,,SI-18(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.2,,,,,,,"COMM:SG1.SP3 KIM:SG5.SP1",,,,,,,,,IP-3,,,,,,,,,,,,,,,,,,,,,,,"164.526 164.526(a) 164.526(b) 164.526(c) 164.526(d) 164.526(e) 164.526(f)",,,,,,,,,,Principle 7,,,,,,,,,,,,6-1-1306(1)(c),,,,,,,,,,,,,,,,59.1-577.A.2,,,,,"Art 12.3 Art 14.2 Art 16 Art 18.1 Art 26.3",,,,Sec 27,"Art 10 Art 12",Art 21,"Art 24 Art 37",Sec 29,"Art 38 Art 39",Sec 20,,,Art 13,"Sec 14 Sec 15 Sec 17",Sec 2,,Sec 14,Sec 7,,,Sec 36,,Sec 27,Art 32,Art 12,,Art 17,,,,,,,,Sec 24,"Art 23 Art 24 Art 31 Art 32",,Sec 28,Art 5,,Sec 17,,,,,"Article 5(1)(d) Article 16 Article 19",,,,APP Part 13,APP 13,,,,,,Sec 8,"Article 46 Article 49",Sec 22,,,"Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 29(1) Article 29(2) Article 29(3)",,Sec 34,,,"P6-(2) Principle 7 P7-(1) P7-(2) P7-(3)(a) P7-(3)(b) P7-(4) P7-(5) P7-(6)",Sec 34,Sec 22,,,"Art 4 Art 36",Art 3,Art 16,"Art 16.1 Art 16.3",Sec 10,,Art 18.3,,,Principle 10,Art 13,"Art 8 Art 11",Art 7,"Art 24 Art 28 Art 29",Art 20,"Art 15 Art 16",,,,x,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Data Tags,DCH-22.2,Mechanisms exist to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle.,- Data Protection Impact Assessment (DPIA),,Does the organization utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle?,3,Protect,,,X,There is no evidence of a capability to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle.,"SP-CMM1 is N/A, since a structured process is required to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle.","SP-CMM2 is N/A, since a well-defined process is required to utilize data tags to automate tracking of sensitive/regulated data across the information lifecycle.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PT-2(1) PT-3(1) SI-18(2)",,,,,"PT-2(1) PT-3(1) SI-18(2)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"P.2.3.7 ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Primary Source Personal Data (PD) Collection,DCH-22.3,Mechanisms exist to collect Personal Data (PD) directly from the individual. ,- Data Protection Impact Assessment (DPIA),,Does the organization collect Personal Data (PD) directly from the individual? ,8,Identify,,X,,There is no evidence of a capability to collect Personal Data (PD) directly from the individual. ,"SP-CMM1 is N/A, since a structured process is required to collect Personal Data (PD) directly from the individual. ","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to collect Personal Data (PD) directly from the individual. ",,,,,,,,,,,,,,,,,,,,,,,7.4.1,,,,,,,,,,,,,,,,"SI-18(3) SI-19(1)",,,,,"SI-18(3) SI-19(1)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 17(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,R-BC-3,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,De-Identification (Anonymization),DCH-23,Mechanisms exist to anonymize data by removing Personal Data (PD) from datasets.,- Data Protection Impact Assessment (DPIA),,Does the organization anonymize data by removing Personal Data (PD) from datasets?,8,Protect,,X,X,There is no evidence of a capability to anonymize data by removing Personal Data (PD) from datasets.,"SP-CMM1 is N/A, since a structured process is required to anonymize data by removing Personal Data (PD) from datasets.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to anonymize data by removing Personal Data (PD) from datasets.",,,,,,,,,,,GVN-05,,,,,,,,,8.33,,,7.4.5,,,,,,,,,,,,"DM-1(1) DM-3(1)",,,,SI-19,SI-19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.7,,,,,,,,,,,,,,,,"DM-1(1) DM-3(1)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6-1-1307(1)(a) 6-1-1307(1)(b) 6-1-1307(1)(b)(I)(A) 6-1-1307(1)(b)(I)(B) 6-1-1307(1)(b)(II) 6-1-1307(1)(b)(III)",,,,,,,,,,,,,,,,"59.1-581.A 59.1-581.A.1 59.1-581.A.2 59.1-581.A.3 59.1-581.B 59.1-581.B(i) 59.1-581.B(ii) 59.1-581.C 59.1-581.C.1 59.1-581.C.2 59.1-581.C.3 59.1-581.D 59.1-581.E",,,,,,,,,,,,,,,,,,,,,,,,39(2),,,,,,,,,,,,,,Article 50.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 35-2(1) Article 35-2(2) Article 35-2(3) Article 35-2(4) Article 35-2(5) Article 35-2(6) Article 35-2(7) Article 35-2(8) Article 35-2(9) Article 36(1) Article 36(2) Article 36(3) Article 36(4) Article 37 Article 38 Article 39",,,,,,,,,,,,,,,,Art 12,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,De-Identify Dataset Upon Collection,DCH-23.1,Mechanisms exist to de-identify the dataset upon collection by not collecting Personal Data (PD).,- Data Protection Impact Assessment (DPIA),,Does the organization de-identify the dataset upon collection by not collecting Personal Data (PD)?,8,Protect,,X,,There is no evidence of a capability to de-identify the dataset up on collection by not collecting Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to de-identify the dataset up on collection by not collecting Personal Data (PD).","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to de-identify the dataset up on collection by not collecting Personal Data (PD).",,,,,,,,,,,,,,,,,,,,,,,7.4.5,,,,,,,,,,,,,,,,SI-19(1),,,,,SI-19(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Archiving,DCH-23.2,Mechanisms exist to refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.,- Data Protection Impact Assessment (DPIA),,Does the organization refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived?,8,Protect,,X,,There is no evidence of a capability to refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.,"SP-CMM1 is N/A, since a structured process is required to refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to refrain from archiving Personal Data (PD) elements if those elements in a dataset will not be needed after the dataset is archived.",,,,,,,,,,,,,,,,,,,,,,,7.4.6,,,,,,,,,,,,,,,,SI-19(2),,,,,SI-19(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Release,DCH-23.3,Mechanisms exist to remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.,- Data Protection Impact Assessment (DPIA),,Does the organization remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release?,8,Protect,,X,,There is no evidence of a capability to remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.,"SP-CMM1 is N/A, since a structured process is required to remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to remove Personal Data (PD) elements from a dataset prior to its release if those elements in the dataset do not need to be part of the data release.",,,,,,,,,,,,,,,,,,,,,,,"7.3.7 7.3.10",,,,,,,,,,,,,,,,SI-19(3),,,,,SI-19(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,"Removal, Masking, Encryption, Hashing or Replacement of Direct Identifiers",DCH-23.4,"Mechanisms exist to remove, mask, encrypt, hash or replace direct identifiers in a dataset.",- Data Protection Impact Assessment (DPIA),,"Does the organization remove, mask, encrypt, hash or replace direct identifiers in a dataset?",8,Protect,,X,X,"There is no evidence of a capability to remove, mask, encrypt, hash or replace direct identifiers in a dataset.","SP-CMM1 is N/A, since a structured process is required to remove, mask, encrypt, hash or replace direct identifiers in a dataset.","SP-CMM2 is N/A, since a well-defined process is required to remove, mask, encrypt, hash or replace direct identifiers in a dataset.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to remove, mask, encrypt, hash or replace direct identifiers in a dataset.",,,,,,,,,,,,,,,,,,,,8.11,,,7.4.5,,,,,,,,,,,,,,,,SI-19(4),,,,,SI-19(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-3 R-BC-2 R-BC-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,R-AC-4,,,R-AM-3,,R-BC-2,R-BC-3,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Statistical Disclosure Control,DCH-23.5,"Mechanisms exist to manipulate numerical data, contingency tables and statistical findings so that no person or organization is identifiable in the results of the analysis.",,,"Does the organization manipulate numerical data, contingency tables and statistical findings so that no person or organization is identifiable in the results of the analysis?",1,Protect,,X,,"There is no evidence of a capability to manipulate numerical data, contingency tables and statistical findings so that no pers on or organization is identifiable in the results of the analysis.","SP-CMM1 is N/A, since a structured process is required to manipulate numerical data, contingency tables and statistical findings so that no pers on or organization is identifiable in the results of the analysis.","SP-CMM2 is N/A, since a well-defined process is required to manipulate numerical data, contingency tables and statistical findings so that no person or organization is identifiable in the results of the analysis.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manipulate numerical data, contingency tables and statistical findings so that no pers on or organization is identifiable in the results of the analysis.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-19(5),,,,,SI-19(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Differential Data Privacy,DCH-23.6,Mechanisms exist to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported.,- Data Protection Impact Assessment (DPIA),,Does the organization prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported?,1,Protect,,X,,There is no evidence of a capability to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported.,"SP-CMM1 is N/A, since a structured process is required to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported.","SP-CMM2 is N/A, since a well-defined process is required to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent disclosure of Personal Data (PD) by adding non-deterministic noise to the results of mathematical operations before the results are reported.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-19(6),,,,,SI-19(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Automated De-Identification of Sensitive Data,DCH-23.7,"Mechanisms exist to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms.",- Data Protection Impact Assessment (DPIA),,"Does the organization perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms?",1,Protect,,,X,"There is no evidence of a capability to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms.","SP-CMM1 is N/A, since a structured process is required to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms.","SP-CMM2 is N/A, since a well-defined process is required to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform de-identification of sensitive/regulated data, using validated algorithms and software to implement the algorithms.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-19(7),,,,,SI-19(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Data Classification & Handling ,Motivated Intruder,DCH-23.8,Mechanisms exist to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.,,,Does the organization perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified?,3,Protect,,X,,There is no evidence of a capability to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.,"SP-CMM1 is N/A, since a structured process is required to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.","SP-CMM2 is N/A, since a well-defined process is required to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform a motivated intruder test on the de-identified dataset to determine if the identified data remains or if the de-identified data can be re-identified.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-19(8),,,,,SI-19(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Code Names,DCH-23.9,"Mechanisms exist to use aliases to name assets, which are mission-critical and/or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data.",,,"Does the organization use aliases to name assets, which are mission-critical and/or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data?",1,Protect,,X,,"There is no evidence of a capability to use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data.","SP-CMM1 is N/A, since a structured process is required to use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to use aliases to name assets, which are mission-critical and/ or contain highly-sensitive/regulated data, are unique and not readily associated with a product, project or type of data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,OP-3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.1.1.2,,"8.2.4 8.4.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Information Location,DCH-24,Mechanisms exist to identify and document the location of information and the specific system components on which the information resides.,- Data Flow Diagram (DFD),E-AST-23,Does the organization identify and document the location of information and the specific system components on which the information resides?,10,Identify,,X,X,There is no evidence of a capability to identify and document the location of information and the specific system components on which the information resides.,"SP-CMM1 is N/A, since a structured process is required to identify and document the location of information and the specific system components on which the information resides.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1005, T1025",,,,,,,,,,,,CM-12,,,CM-12,CM-12,,,,CM-12,CM-12,,CM-12,,,,CM-12,CM-12,,,,"A.03.04.11.a[01] A.03.04.11.a[02] A.03.04.11.a[03] A.03.04.11.b[01] A.03.04.11.b[02] A.03.04.11.c[01] A.03.04.11.c[02]",,,,,,,,,,,,,,,,,D.1.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-12,,CM-12,CM-12,,,,,,,,,,,"2.C.7 CM-12",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 6.1 Art 26.1 Art 26.2 Art 27.3 Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10 Art 29 Art 44 Art 45.1 Art 45.2 Art 46.1 Art 46.2 Art 46.3 Art 47.1 Art 47.2 Art 48 Art 49.1 Art 49.2 Art 49.6",,,,Sec 10,Chapter 4 - Art 16,"Art 14 Art 16 Art 27",Art 41 ,,Art 34,,,,,Sec 7,Sec 2,,"Sec 16 Sec 17",Sec 31,,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15",,Art 7,,,,4-2-3-1,,,,"Sec 19 Sec 21",,,Sec 31,,,,,,,,"Article 44 Article 45(1) Article 45(2)(a) Article 45(2)(b) Article 45(2)(c) Article 46(1) Article 46(2)(a) Article 46(2)(b) Article 46(2)(c) Article 46(2)(d) Article 46(2)(e) Article 46(2)(f) Article 46(3)(a) Article 46(3)(b)",,,,,,,,,,,,,,,Art 1,Article 20,,Sec 9,,,,Sec 25,"Sec 24 Sec 26",,,"Art 17 Art 27",,"Art 9 Art 26",,,,,,,Sec 20,Art 7,Art 26,,,,Art 23,,,,x,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Automated Tools to Support Information Location,DCH-24.1,Automated mechanisms exist to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.,,,Does the organization use automated mechanisms to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy?,6,Identify,,X,X,There is no evidence of a capability to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.,"SP-CMM1 is N/A, since a structured process is required to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.","SP-CMM2 is N/A, since a well-defined process is required to identify by data classification type to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-12(1),,,CM-12(1),CM-12(1),,,,CM-12(1),CM-12(1),,CM-12(1),,,,CM-12(1),CM-12(1),,,,,,,,,,,,,,,,,,,,,D.1.1.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-12(1),,CM-12(1),CM-12(1),,,,,,,,,,,CM-12(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 10,Chapter 4 - Art 16,"Art 14 Art 16 Art 27",Art 41 ,,Art 34,,,,,Sec 7,Sec 2,,"Sec 16 Sec 17",Sec 31,,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15",,Art 7,,,,,,,,"Sec 19 Sec 21",,,Sec 31,,,,,,,,"Article 44 Article 45(1) Article 45(2)(a) Article 45(2)(b) Article 45(2)(c) Article 46(1) Article 46(2)(a) Article 46(2)(b) Article 46(2)(c) Article 46(2)(d) Article 46(2)(e) Article 46(2)(f) Article 46(3)(a) Article 46(3)(b)",,,,,,,,,,,,,,,,,,Sec 9,,,,Sec 25,"Sec 24 Sec 26",,,"Art 17 Art 27",,"Art 9 Art 26",,,,,,,Sec 20,Art 7,Art 26,,,,,,,,x,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Data Classification & Handling ,Transfer of Sensitive and/or Regulated Data,DCH-25,Mechanisms exist to restrict and govern the transfer of sensitive and/or regulated data to third-countries or international organizations.,"- Model contracts - Privacy Shield - Binding Corporate Rules (BCR)",,Does the organization restrict and govern the transfer of sensitive and/or regulated data to third-countries or international organizations?,10,Protect,,X,,There is no evidence of a capability to restrict and govern the transfer of sensitive and/ or regulated data to third-countries or international organizations.,"Data Classification & Handling (DCH) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data protection controls are primarily administrative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A manual data retention process exists. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Data Classification & Handling (DCH) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.6.2.3,"2.4A 2.5A 2.9",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 44 Art 45.1 Art 45.2 Art 46.1 Art 46.2 Art 46.3 Art 47.1 Art 47.2 Art 48 Art 49.1 Art 49.2 Art 49.6",,,,Sec 10,,"Art 14 Art 27",,,,,,,,,,10.5,,,"25(h) 48(a) 48(b) 48(c)(i) 48(c)(ii) 48(c)(iii) 48(c)(iv) 48(c)(v) 48(c)(vi) 49(1) 49(2) 49(3) 50",,,"2.11 2.11(a) 2.11(b) 2.11(c) 2.11(d) 2.11(e) 2.12 2.12(a) 2.12(b) 2.12(c) 2.12(d) 2.12(e) 2.12(f)",,,,Article 15,,2-6-1-5,TPC-30,,,,"Article 23 Article 63 Article 63.1 Article 63.2 Article 63.3 Article 63.4 Article 65 Article 68 Article 69 Article 69.x Article 70 Article 70.1 Article 70.2 Article 70.3 Article 70.4 Article 70.5 Article 71 Article 71.1 Article 71.2 Article 71.3 Article 71.4 Article 71.5",,Sec 72,,,,,,,,,,,"Article 44 Article 45(1) Article 45(2)(a) Article 45(2)(b) Article 45(2)(c) Article 46(1) Article 46(2)(a) Article 46(2)(b) Article 46(2)(c) Article 46(2)(d) Article 46(2)(e) Article 46(2)(f) Article 46(3)(a) Article 46(3)(b) Article 48 Article 49(1)(a) Article 49(1)(b) Article 49(1)(c) Article 49(1)(d) Article 49(1)(e) Article 49(1)(f) Article 49(1)(g) Article 49(2) Article 49(3) Article 49(4) Article 49(5) Article 49(6)",,,,,,,,,,,,,,,,Article 24(1),,Sec 9,,,"Principle 12 P12-(1) P12-(1)(a) P12-(1)(b) P12-(1)(c) P12-(1)(d) P12-(1)(e) P12-(1)(f) P12-(2) P12-(3)",,"Sec 24 Sec 26",,,"Art 17 Art 26 Art 27",,,,,,,,,Sec 20,,Art 26,,,,,,,,x,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Transfer Activity Limits,DCH-25.1,"Mechanisms exist to establish organization-defined ""normal business activities"" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/or receiving (inbound) fraudulent actions.",,,"Does the organization establish organization-defined ""normal business activities"" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/or receiving (inbound) fraudulent actions?",7,Protect,,X,,"There is no evidence of a capability to establish organization-defined ""normal business activities"" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions.","SP-CMM1 is N/A, since a structured process is required to establish organization-defined ""normal business activities"" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions.","Data Classification & Handling (DCH) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Data management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for data management. • Data protection controls are primarily administrative and preventative in nature (e.g., policies & standards) to classify, protect and dispose of systems and data, including storage media. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists and is a manual process to govern. • Data/process owners: o Document where sensitive/regulated data is stored, transmitted and processed to identify data repositories and data flows. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data • A manual data retention process exists. • Content filtering blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative means (e.g., policies and standards) dictate: o Geolocation requirements for sensitive/regulated data types, including the transfer of data to third-countries or international organizations. o Requirements for minimizing data collection to what is necessary for business purposes. o Requirements for limiting the use of sensitive/regulated data in testing, training and research.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish organization-defined ""normal business activities"" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish organization-defined ""normal business activities"" to identify anomalous transaction activities that can reduce the opportunity for sending (outbound) and/ or receiving (inbound) fraudulent actions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.7,2.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,,,,,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Data Classification & Handling ,Data Localization,DCH-26,"Mechanisms exist to constrain the impact of ""digital sovereignty laws,"" that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/or contractual obligations.",- Board of Directors (Bod) Ethics Committee,,"Does the organization constrain the impact of ""digital sovereignty laws,"" that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/or contractual obligations?",10,Protect,X,X,X,"There is no evidence of a capability to constrain the impact of ""digital sovereignty laws,"" that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations.","SP-CMM1 is N/A, since a structured process is required to constrain the impact of ""digital sovereignty laws,"" that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations.","SP-CMM2 is N/A, since a well-defined process is required to constrain the impact of ""digital sovereignty laws,"" that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations.","Data Classification & Handling (DCH) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function, assists users in making information sharing decisions to ensure data is appropriately protected, regardless of where or how it is stored, processed and/ or transmitted. • A data classification process exists to identify categories of data and specific protection requirements. • A data retention process exists to protect archived data in accordance with applicable statutory, regulatory and contractual obligations. • Data/process owners: o Are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. o Maintain decentralized inventory logs of all sensitive/regulated media and update sensitive/regulated media inventories at least annually. o Create and maintain Data Flow Diagrams (DFDs) and network diagrams. o Document where sensitive/regulated data is stored, transmitted and processed in order to document data repositories and data flows. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on internal or external systems, in order to implement cybersecurity & data privacy controls in accordance with applicable statutory, regulatory and contractual obligations. • Human Resources (HR), documents formal “rules of behavior” as an employment requirement that stipulates acceptable and unacceptable practices pertaining to sensitive/regulated data handling. • Data Loss Prevention (DLP), or similar content filtering capabilities, blocks users from performing ad hoc file transfers through unapproved file transfer services (e.g., Box, Dropbox, Google Drive, etc.). • Mobile Device Management (MDM) software is used to restrict and protect the data that resides on mobile devices. • Administrative processes and technologies: o Identify data classification types to ensure adequate cybersecurity & data privacy controls are in place to protect organizational information and individual data privacy. o Identify and document the location of information on which the information resides. o Restrict and govern the transfer of data to third-countries or international organizations. o Limit the disclosure of data to authorized parties. o Mark media in accordance with data protection requirements so that personnel are alerted to distribution limitations, handling caveats and applicable security requirements. o Prohibit “rogue instances” where unapproved third parties are engaged to store, process or transmit data, including budget reviews and firewall connection authorizations. o Protect and control digital and non-digital media during transport outside of controlled areas using appropriate security measures. o Govern the use of personal devices (e.g., Bring Your Own Device (BYOD)) as part of acceptable and unacceptable behaviors. o Dictate requirements for minimizing data collection to what is necessary for business purposes. o Dictate requirements for limiting the use of sensitive/regulated data in testing, training and research.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to constrain the impact of ""digital sovereignty laws,"" that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to constrain the impact of ""digital sovereignty laws,"" that require localized data within the host country, where data and processes may be subjected to arbitrary enforcement actions that potentially violate other applicable statutory, regulatory and/ or contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.11.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,50,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 36,,"Article 36 Article 38 Article 40",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Embedded Technology Security Program ,EMB-01,Mechanisms exist to facilitate the implementation of embedded technology controls. ,,E-AST-07,Does the organization facilitate the implementation of embedded technology controls? ,10,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of embedded technology controls. ,"Embedded Technology (EMB) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technologies (e.g., Operational Technology (OT) and Internet of Things (IoT) are managed in the same manner as any other technology asset. • Embedded technologies management is decentralized.","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments. • IT/cybersecurity personnel perform an annual review of existing for embedded technologies configurations to ensure security objectives are still being met. • Data management for embedded technologies is decentralized where data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • Data protection controls are primarily administrative in nature (e.g., policies & standards) to manage embedded technologies. • Historical versions of configurations are maintained for troubleshooting and forensics purposes. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for embedded technologies governance practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise, including governance of embedded technologies. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to embedded technologies. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including embedded technologies governance. • An IT Asset Management (ITAM) function, or similar function: o Categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. o Ensures known vulnerabilities to embedded technologies are remediated or appropriate compensating controls are implemented to counter the threat. o Ensures that media sanitization and disposal actions are documented and verified. o Subscribes to threat feeds and performs vulnerability scanning to maintain situational awareness on existing threats within the operating environment. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes and technologies limit Personal Data (PD) being processed by embedded technologies to elements identified in the DPIA.","Embedded Technology (EMB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of embedded technology controls. ",,,,,,,,,,,"GVN-01 GVN-02 POL-03 VLN-04",,,"EDR 2.4 (13.2.1) EDR 2.4 (13.2.1(a)) EDR 2.4 (13.2.1(b)) EDR 2.4 (13.2.1(c))",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,,,,,,,,,,,M.1.1,,,,"7.3.7(a) 7.3.7(b) 7.3.7(c)","7.3.7(a) 7.3.7(b) 7.3.7(c)","ARCHITECTURE-3.A.MIL1 ARCHITECTURE-3.B.MIL1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.S.A,"6.M.B 9.M.A","6.M.B 9.M.A",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,"12.1 12.2 12.3",,,,,,,,,,,,,,,"5-1-1 5-1-2 5-1-3 5-1-4","1-1-2 1-6 2-1-2 2-3-2",,,Sec 19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.5.1 11.5.2 11.5.3 11.5.4 11.5.5",,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Embedded Technology ,Internet of Things (IOT) ,EMB-02,Mechanisms exist to proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT).,,,Does the organization proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT)?,9,Protect,,X,,There is no evidence of a capability to proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT).,"SP-CMM1 is N/A, since a structured process is required to proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT).","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments. • IT/cybersecurity personnel perform an annual review of existing for embedded technologies configurations to ensure security objectives are still being met. • Data management for embedded technologies is decentralized where data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • Data protection controls are primarily administrative in nature (e.g., policies & standards) to manage embedded technologies. • Historical versions of configurations are maintained for troubleshooting and forensics purposes. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","Embedded Technology (EMB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively manage the cybersecurity & data privacy risks associated with Internet of Things (IoT).",,,,,,,,,,,GVN-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,U.2.5,,,,,,"ARCHITECTURE-3.A.MIL1 ARCHITECTURE-3.B.MIL1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.S.A,"6.M.B 9.M.A","6.M.B 9.M.A",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 19,,,,,,,,,,,,,,,,,,"Principle 11 Principle 13",,,,,Article 26,,,,,,,,,,,,,"11.5.1 11.5.2 11.5.3 11.5.4 11.5.5",,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Operational Technology (OT) ,EMB-03,Mechanisms exist to proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT).,,,Does the organization proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT)?,9,Protect,,X,,There is no evidence of a capability to proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT).,"SP-CMM1 is N/A, since a structured process is required to proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT).","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments. • IT/cybersecurity personnel perform an annual review of existing for embedded technologies configurations to ensure security objectives are still being met. • Data management for embedded technologies is decentralized where data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • Data protection controls are primarily administrative in nature (e.g., policies & standards) to manage embedded technologies. • Historical versions of configurations are maintained for troubleshooting and forensics purposes. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","Embedded Technology (EMB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively manage the cybersecurity & data privacy risks associated with Operational Technology (OT).",,,,,,,,,,,GVN-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.30.2,,,,,,"ARCHITECTURE-3.A.MIL1 ARCHITECTURE-3.B.MIL1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.S.A,"6.M.B 9.M.A","6.M.B 9.M.A",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Interface Security,EMB-04,Mechanisms exist to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s).,,,Does the organization protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s)?,4,Protect,,,X,There is no evidence of a capability to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s).,"SP-CMM1 is N/A, since a structured process is required to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s).","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect embedded devices against unauthorized use of the physical factory diagnostic and test interface(s).",,,,,,,,,,,IOT-05,,,EDR 2.13 (13.3.1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 6 Principle 13",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Embedded Technology Configuration Monitoring,EMB-05,Mechanisms exist to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected.,,,Does the organization generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected?,6,Detect,,X,X,There is no evidence of a capability to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected.,"SP-CMM1 is N/A, since a structured process is required to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected.","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Previous versions of configurations are maintained for troubleshooting and forensics reasons.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate log entries on embedded devices when configuration changes or attempts to access interfaces are detected.",,,,,,,,,,,SNT-03,,,"EDR 2.13 (13.3.3(1)) EDR 3.11 (13.6.3(1))",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A05:2021,,,,,,,,,,,,I.3.15,,,,"7.3.7(a) 7.3.7(b)","7.3.7(a) 7.3.7(b)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-5-4,,,,,,,,,,,,,,,,,,,,,"Principle 8 Principle 10",,,,,,,,,,,,,,,,,,11.5.5,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Prevent Alterations,EMB-06,Mechanisms exist to protect embedded devices by preventing the unauthorized installation and execution of software.,,,Does the organization protect embedded devices by preventing the unauthorized installation and execution of software?,6,Protect,,,X,There is no evidence of a capability to protect embedded devices by preventing the unauthorized installation and execution of software.,"SP-CMM1 is N/A, since a structured process is required to protect embedded devices by preventing the unauthorized installation and execution of software.","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect embedded devices by preventing the unauthorized installation and execution of software.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect embedded devices by preventing the unauthorized installation and execution of software.",,,,,,,,,,,IOT-05,,,"EDR 3.2 (13.4.1) EDR 3.11 (13.6.3(1))",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A05:2021,,,,,,,,,,,,M.1.45,,,,,,"ARCHITECTURE-3.E.MIL2 ARCHITECTURE-3.F.MIL2 ARCHITECTURE-3.H.MIL2 ARCHITECTURE-3.I.MIL2 ARCHITECTURE-3.L.MIL3 ARCHITECTURE-3.M.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-5-2 1-5-3 1-5-4 2-3-1-5 2-3-1-6",,,,,,,,,,,,,,,,,,,,,Principle 6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Embedded Technology Maintenance,EMB-07,Mechanisms exist to securely update software and upgrade functionality on embedded devices.,,,Does the organization securely update software and upgrade functionality on embedded devices?,6,Protect,,X,X,There is no evidence of a capability to securely update software and upgrade functionality on embedded devices.,"SP-CMM1 is N/A, since a structured process is required to securely update software and upgrade functionality on embedded devices.","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely update software and upgrade functionality on embedded devices.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely update software and upgrade functionality on embedded devices.",,,,,,,,,,,,,,EDR 3.10 (13.5.1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"N.3 ",,,,,,"ARCHITECTURE-3.E.MIL2 ARCHITECTURE-3.F.MIL2 ARCHITECTURE-3.H.MIL2 ARCHITECTURE-3.I.MIL2 ARCHITECTURE-3.L.MIL3 ARCHITECTURE-3.M.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-5-4 2-2-1-4",,,,,,,,,,,,,,,,,,,,,"Principle 3 Principle 12",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Resilience To Outages,EMB-08,Mechanisms exist to configure embedded technology to be resilient to data network and power outages.,,,Does the organization configure embedded technology to be resilient to data network and power outages?,2,Protect,,X,X,There is no evidence of a capability to configure embedded technology to be resilient to data network and power outages.,"SP-CMM1 is N/A, since a structured process is required to configure embedded technology to be resilient to data network and power outages.","Embedded Technology (EMB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Embedded technology management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for embedded technology management. • Embedded technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Deviations to baseline for embedded technologies configurations are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • Special baselines for embedded technologies configurations are created for higher-risk environments.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure embedded technology to be resilient to data network and power outages.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure embedded technology to be resilient to data network and power outages.",,,,,,,,,,,SAP-03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Power Level Monitoring,EMB-09,"Automated mechanisms exist to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering.",,,"Does the organization use automated mechanisms to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering?",4,Detect,,,X,"There is no evidence of a capability to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering.","SP-CMM1 is N/A, since a structured process is required to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering.","SP-CMM2 is N/A, since a well-defined process is required to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Power levels of embedded technologies are monitored for excessive power usage or battery drainage due to device tampering.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor the power levels of embedded technologies for decreased or excessive power usage, including battery drainage, to investigate for device tampering.",,,,,,,,,,,ASM-03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.2.14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-11 NT-12 NT-13 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,,,NT-11,NT-12,NT-13,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Embedded Technology ,Embedded Technology Reviews,EMB-10,"Mechanisms exist to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented.",,,"Does the organization perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented?",8,Identify,,X,X,"There is no evidence of a capability to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented.","SP-CMM1 is N/A, since a structured process is required to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented.","SP-CMM2 is N/A, since a well-defined process is required to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform evaluations of deployed embedded technologies as needed, or at least on an annual basis, to ensure that necessary updates to mitigate the risks associated with legacy embedded technologies are identified and implemented.",,,,,,,,,,,"CCM-01 IOT-08",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A06:2021,,,,,,,,,,,,N.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.C.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-6 1-6-1 1-6-2 2-1-2 2-3-2 2-7-2 2-9-2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Message Queuing Telemetry Transport (MQTT) Security,EMB-11,Mechanisms exist to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic.,,,Does the organization enforce the security of Message Queuing Telemetry Transport (MQTT) traffic?,7,Protect,,,X,There is no evidence of a capability to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic.,"SP-CMM1 is N/A, since a structured process is required to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic.","SP-CMM2 is N/A, since a well-defined process is required to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Message Queuing Telemetry Transport (MQTT) traffic is securely enforced.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce the security of Message Queuing Telemetry Transport (MQTT) traffic.",,,,,,,,,,,COM-01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Restrict Communications,EMB-12,"Mechanisms exist to require embedded technologies to initiate all communications and drop new, incoming communications.",,,"Does the organization require embedded technologies to initiate all communications and drop new, incoming communications?",8,Protect,,,X,"There is no evidence of a capability to require embedded technologies to initiate all communications and drop new, incoming communications.","SP-CMM1 is N/A, since a structured process is required to require embedded technologies to initiate all communications and drop new, incoming communications.","SP-CMM2 is N/A, since a well-defined process is required to require embedded technologies to initiate all communications and drop new, incoming communications.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Embedded technologies are restricted to communicate only with authorized peers and service endpoints.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require embedded technologies to initiate all communications and drop new, incoming communications.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require embedded technologies to initiate all communications and drop new, incoming communications.",,,,,,,,,,,COM-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"N.9 ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Authorized Communications,EMB-13,Mechanisms exist to restrict embedded technologies to communicate only with authorized peers and service endpoints.,,,Does the organization restrict embedded technologies to communicate only with authorized peers and service endpoints?,8,Protect,,,X,There is no evidence of a capability to restrict embedded technologies to communicate only with authorized peers and service endpoints.,"SP-CMM1 is N/A, since a structured process is required to restrict embedded technologies to communicate only with authorized peers and service endpoints.","SP-CMM2 is N/A, since a well-defined process is required to restrict embedded technologies to communicate only with authorized peers and service endpoints.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Embedded technologies are configured to initiate all communications and drop any new incoming communications.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict embedded technologies to communicate only with authorized peers and service endpoints.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict embedded technologies to communicate only with authorized peers and service endpoints.",,,,,,,,,,,"COM-11 SNT-04",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A07:2021,,,,,,,,,,,,M.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-2-1-4 2-2-1-7 2-4-1 2-4-1-1 2-4-1-2 2-4-1-3 2-4-1-4 2-4-1-5 2-4-1-6 2-4-1-7 2-4-1-8 2-4-1-9 2-4-1-10 2-4-1-11 2-4-1-12 2-4-1-13 2-4-1-14 2-4-1-15 2-4-1-16",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Operating Environment Certification,EMB-14,Mechanisms exist to determine if embedded technologies are certified for secure use in the proposed operating environment.,,,Does the organization determine if embedded technologies are certified for secure use in the proposed operating environment?,9,Identify,,X,X,There is no evidence of a capability to determine if embedded technologies are certified for secure use in the proposed operating environment.,"SP-CMM1 is N/A, since a structured process is required to determine if embedded technologies are certified for secure use in the proposed operating environment.","SP-CMM2 is N/A, since a well-defined process is required to determine if embedded technologies are certified for secure use in the proposed operating environment.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Embedded technologies are certified for use in the proposed operating environment and the safety aspects of the technology formally evaluated using a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration or failure.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to determine if embedded technologies are certified for secure use in the proposed operating environment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine if embedded technologies are certified for secure use in the proposed operating environment.",,,,,,,,,,,"GVN-09 GVN-10 IOT-08 LGL-01 RSM-03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-5-3-3 2-4-1-15",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-11 NT-12 NT-13 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,,,NT-11,NT-12,NT-13,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Safety Assessment,EMB-15,"Mechanisms exist to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/or failure.",,,"Does the organization evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/or failure?",9,Identify,,X,X,"There is no evidence of a capability to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure.","SP-CMM1 is N/A, since a structured process is required to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure.","SP-CMM2 is N/A, since a well-defined process is required to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the safety aspects of embedded technologies via a fault tree analysis, or similar method, to determine possible consequences of misuse, misconfiguration and/ or failure.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.37,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Certificate-Based Authentication,EMB-16,"Mechanisms exist to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services.",,,"Does the organization enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.?) and their supporting services?",5,Protect,,,X,"There is no evidence of a capability to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services.","SP-CMM1 is N/A, since a structured process is required to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services.","SP-CMM2 is N/A, since a well-defined process is required to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Certificate-based authentication is enforced for embedded technologies (e.g., IoT, OT, etc.) and their supporting services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce certificate-based authentication for embedded technologies (e.g., IoT, OT, etc.) and their supporting services.",,,,,,,,,,,IAM-03,,,EDR 3.10 (13.5.3(1)),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A08:2021,,,,,,,,,,,,U.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Chip-To-Cloud Security,EMB-17,Mechanisms exist to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP).,,,Does the organization implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP)?,6,Protect,,,X,There is no evidence of a capability to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP).,"SP-CMM1 is N/A, since a structured process is required to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP).","SP-CMM2 is N/A, since a well-defined process is required to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP).","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Embedded technologies use pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement embedded technologies that utilize pre-provisioned cloud trust anchors to support secure bootstrap and Zero Touch Provisioning (ZTP).",,,,,,,,,,,IOT-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Real-Time Operating System (RTOS) Security,EMB-18,Mechanisms exist to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS).,,,Does the organization ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS)?,5,Protect,,,X,There is no evidence of a capability to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS).,"SP-CMM1 is N/A, since a structured process is required to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS).","SP-CMM2 is N/A, since a well-defined process is required to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS).","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Embedded technologies use a securely configured Real-Time Operating System (RTOS).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure embedded technologies utilize a securely configured Real-Time Operating System (RTOS).",,,,,,,,,,,"IOT-06 IOT-07 IOT-09",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Safe Operations,EMB-19,Mechanisms exist to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured.,,,Does the organization continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured?,9,Protect,,X,X,There is no evidence of a capability to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured.,"SP-CMM1 is N/A, since a structured process is required to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured.","SP-CMM2 is N/A, since a well-defined process is required to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured.","Embedded Technology (EMB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes embedded technologies according to the data the asset stores, transmits and/ or processes to ensure that the appropriate technology controls are applied to protect the asset and the data it stores, transmits or processes. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations for embedded technologies are designed, built and maintained for embedded technologies. • Cybersecurity personnel perform annual evaluations of deployed embedded technologies to identify necessary updates to mitigate any newly discovered risks associated with legacy embedded technologies. • Configurations for embedded technologies conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • Configuration management of embedded technologies is centralized for all operating systems, applications, servers and other technologies that are capable of being configured. • Special baseline configurations for embedded technologies are created for higher-risk environments. • Deviations to baseline configurations for embedded technologies are required to have a risk assessment and the business process owner accepts the risk(s) associated with the deviation. • Unauthorized configuration changes to embedded technologies are responded to in accordance with an Incident Response Plan (IRP) to determine if the unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of sensitive/regulated data processed, stored or transmitted on embedded technologies, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Autonomous systems are configured to continuously validate safe operation parameters that trigger an automatic state change when safe operation is no longer assured.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to continuously validate autonomous systems that trigger an automatic state change when safe operation is no longer assured.",,,,,,,,,,,"SAP-02 SAP-09",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,T.1.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3-1-1-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-11 NT-12 NT-13 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,,,NT-11,NT-12,NT-13,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Endpoint Security ,END-01,Mechanisms exist to facilitate the implementation of endpoint security controls.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Group Policy Objects (GPOs) - Antimalware technologies - Software firewalls - Host-based IDS/IPS technologies - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization facilitate the implementation of endpoint security controls?,10,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of endpoint security controls.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Data/process owners are expected to take the initiative to work with Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • Data protection controls are primarily administrative in nature (e.g., policies & standards) to manage endpoint devices. IT personnel implement and maintain an asset management capability, including endpoint devices.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for endpoint security practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise with regards to endpoint security. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to endpoint security. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including endpoint security. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An ITAM function, or similar function, uses a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets that is configured to perform integrity checking and alert on unauthorized configuration changes. • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors. • File Integrity monitor (FIM) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations. • Host-based Intrusion Detection/Prevention Systems (HIDS/HIPS) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of endpoint security controls.",,CC6.7-POF4,,10.1,10.1,10.1,10.1,"DSS05.01 DSS05.02 DSS05.03 DSS05.04 DSS05.05 DSS05.06 DSS05.07",,"TVM-02 UEM-01 UEM-05 UEM-07",,,,,,,,,11.2.9 ,"7.7 8.1 8.5",11.2.9 ,,6.8.2.9,,,,,,,,,,,,MP-2,MP-2,,MP-2,MP-2,,MP-2,MP-2,MP-2,,,MP-2,MP-2,MP-2,,,,,,,,,,"3.4.1[a] 3.4.1[b] 3.4.1[c] 3.4.2[a] 3.4.2[b]",A.03.01.01.ODP[01],,,DE.CM-4,"PR.DS-10 PR.PS",,,"1.5 1.5.1",,1.5.1,,,,1.5.1,1.5.1,1.5.1,,M.1.1,6.1,,,,,"ARCHITECTURE-3.A.MIL1 ARCHITECTURE-3.B.MIL1","AM:SG1.SP1 KIM:SG2.SP1 KIM:SG2.SP2",,"5.13.3 5.13.4",,,,,,,MP-2,,,,,,,,MP-2,MP-2,MP-2,MP-2,MP-2,MP-2,MP-2,MP-2,MP-2,MP-2,,,,,,164.310(c),"2.S.A 8.S.A","1.M.A 2.M.A 9.M.A 9.M.B","1.M.A 2.M.A 9.M.A 9.M.B 1.L.A","2.D.8 3.3.7 MP-2",,,8-310,"5.1 5.2 17.2",6.10,,,,5.8,,,,,,,,,,,,,,,,,,,,,MP-2,MP-2,MP-2,,,"§ 2447(c)(6) § 2447(c)(7)",3.4.4(36)(d),,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,"7.1 7.3 15.5",,,,,,,,,,,,"2-3-1-2 2-5","TPC-12 TPC-22",,"2-3-4 2-4-4","2-5 2-5-1 2-5-1-1 2-5-1-2 2-5-1-3 2-5-1-4 2-5-1-5 2-5-2",,,Sec 19,,8.3.1 [MP.EQ.1],,,,,,,4,,,Principle 1.1,"Principle 1.1 Principle 1.2","Principle 1.1 Principle 1.2",,,,,,,,,,,,,,11.2.9,,,,,,,4.5,"11.3.1 11.3.2 11.3.3 11.3.4 11.3.5 11.4.1 11.4.2 11.4.3",,,,,,5.12,,"4.3 4.4",,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Endpoint Security,Endpoint Protection Measures ,END-02,"Mechanisms exist to protect the confidentiality, integrity, availability and safety of endpoint devices.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization protect the confidentiality, integrity, availability and safety of endpoint devices?",9,Protect,,X,X,"There is no evidence of a capability to protect the confidentiality, integrity, availability and safety of endpoint devices.","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized. • All endpoint devices containing sensitive/regulated data use a cryptographic mechanism to prevent the unauthorized disclosure of information at rest (e.g., full drive encryption). • Security awareness training covers unauthorized alterations and evidence of tampering of technology assets. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all projects.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An ITAM function, or similar function, uses a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets that is configured to perform integrity checking and alert on unauthorized configuration changes. • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors. • File Integrity monitor (FIM) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations. • Host-based Intrusion Detection/Prevention Systems (HIDS/HIPS) technology is deployed to all HVAs to detect and report unauthorized changes to business-critical system files and configurations.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"10.0 10.3 10.4 10.5 11.0",10.3,"10.3 10.4 10.5","10.3 10.4 10.5","DSS05.01 DSS05.03",,"TVM-02 TVM-04 UEM-02 UEM-05",,,,FR 3 (7.1),,,,,,"8.1 8.5",,,,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1025, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1078, T1078.001, T1078.003, T1078.004, T1213, T1213.001, T1213.002, T1530, T1550.001, T1552, T1552.001, T1552.002, T1552.003, T1552.004, T1565, T1565.001, T1565.003, T1567, T1599, T1599.001, T1602, T1602.001, T1602.002",,,,,,,,SC-28,,SC-28,SC-28,SC-28,,,SC-28,SC-28,,,,SC-28,SC-28,,SC-28,,SC-28,,SC-28,SC-28,3.13.16,,3.13.16,,,,,PR.DS-10,,"3.4 3.4.1","1.5 1.5.1",,1.5.1,,,,1.5.1,1.5.1,1.5.1,,M.1.7,,5.2.3,,,,,,,"5.13.3 5.13.4",,SC.L2-3.13.16,SC.L2-3.13.16,,SC.L2-3.13.16,SC.L2-3.13.16,SC-28,,,,,,,,SC-28 ,,SC-28 ,SC-28 ,,SC-28,SC-28,SC-28,SC-28,SC-28,,,,,,164.310(c),"2.S.A 8.S.A","1.M.A 2.M.A 9.M.A 9.M.B","1.M.A 2.M.A 9.M.A 9.M.B 1.L.A",SC-28,,,8-604,"5.1 5.2",6.10,,,,5.8,,SC-28 ,SC-28 ,,,,,,,,,,17.04(5),,,,622(2)(d)(C)(iii) ,,,,,,SC-28,,,"§ 2447(c)(6) § 2447(c)(7)",,,,,,,,,,,,,,,,,,,,"7.1 7.3 15.5",,,,,,,,,,,,2-3-1-2,TPC-22,,,,,,,,,,,,,,,4,,,,,,,,,,,,,,,,,,,,,,,,,,4.5,,,,,,,,,"4.3 4.4",,,,,,,,,,,,,"MA 201 CMR 17 OR 6464A",x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Prohibit Installation Without Privileged Status ,END-03,Automated mechanisms exist to prohibit software installations without explicitly assigned privileged status. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Removal of local admin rights - Privileged Account Management (PAM) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization use automated mechanisms to prohibit software installations without explicitly assigned privileged status? ,9,Protect,X,X,X,There is no evidence of a capability to prohibit software installations without explicitly assigned privileged status. ,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit software installations without explicitly assigned privileged status. ",,CC6.8-POF1,,,,,,,,UEM-07,IAM-04,,,,,,,,"12.5.1 12.6.2 ",8.19,"12.5.1 12.6.2 ",,6.9.6.2,,,,,,,,,,,,"CM-11 CM-11(2)",CM-11,CM-11,CM-11,"CM-11 CM-11(2)",,CM-11,CM-11,CM-11,CM-11(2),,CM-11,CM-11,CM-11,,CM-11,CM-11,,,CM-11,CM-11,3.4.9,,,,,,,PR.PS-05,,,,,,,,,,,,,M.1.31,,,,,,,"AM:SG1.SP1 COMP:SG3.SP2 MON:SG2.SP3",1.5,,,CM.L2-3.4.9,,,CM.L2-3.4.9,CM.L2-3.4.9,CM-11,,,,,,,,CM-11,CM-11,CM-11,CM-11,CM-11,CM-11,CM-11,CM-11,CM-11,CM-11,,,,,,,2.S.A,2.M.A,2.M.A,CM-11,,,,,6.10,,,,,,,,III.D.1.d,,,,,,,,,,,,,,,,,CM-11,,,,,,,,,,,,,,,,,,,,,,,,,6.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,3,,,Principle 1.1,"Principle 1.1 Principle 1.2","Principle 1.1 Principle 1.2",,,,,,,,,,,,,,"12.5.1 12.5.1.1.PB 12.6.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Endpoint Security,Software Installation Alerts,END-03.1,Mechanisms exist to generate an alert when new software is detected. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization generate an alert when new software is detected? ,8,Protect,,,X,There is no evidence of a capability to generate an alert when new software is detected. ,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate an alert when new software is detected. ",,CC6.8-POF2,,2.3,2.3,2.3,2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-11(1),,,,"CM-8(3) CM-11(3)",,,CM-8(3),CM-8(3),CM-11(3),,,CM-8(3),CM-8(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,G.2.5.7,,,,,,,,,,,,,,,,,,,,,,,,CM-11(1),,,CM-11(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Governing Access Restriction for Change,END-03.2,"Mechanisms exist to define, document, approve and enforce access restrictions associated with changes to systems.",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization define, document, approve and enforce access restrictions associated with changes to systems?",8,Protect,,X,X,"There is no evidence of a capability to define, document, approve and enforce access restrictions associated with changes to systems.","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define, document, approve and enforce access restrictions associated with changes to systems.",,,,,,,,,,"UEM-02 UEM-03",,,,,,,,,12.5.1 ,8.19,12.5.1 ,,"6.9.5 6.9.5.1",,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1047, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.006, T1059.008, T1072, T1078, T1078.002, T1078.003, T1078.004, T1098, T1098.001, T1098.002, T1098.003, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1137.002, T1176, T1185, T1190, T1195.003, T1197, T1210, T1213, T1213.001, T1213.002, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1525, T1528, T1530, T1537, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.003, T1547.004, T1547.006, T1547.007, T1547.009, T1547.011, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.002, T1552.007, T1553, T1553.006, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1564.008, T1569, T1569.001, T1569.002, T1574, T1574.005, T1574.010, T1574.011, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1611, T1619",,,,,,,,CM-5,,CM-5,CM-5,CM-5,,CM-5,CM-5,CM-5,,,CM-5,CM-5,CM-5,,CM-5,CM-5,,,CM-5,CM-5,,,"3.4.5[a] 3.4.5[b] 3.4.5[c] 3.4.5[d] 3.4.5[e] 3.4.5[f] 3.4.5[g] 3.4.5[h]",,,,,,,,,,,,,,,,,,G.2.5.7,,,,,,,TM:SG4.SP1,,,,,,,,,CM-5,,,,,,,,CM-5,,CM-5,CM-5,,CM-5,,CM-5,CM-5,,,,,,,,,,,CM-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"12.5.1 12.5.1.1.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Malicious Code Protection (Anti-Malware) ,END-04,Mechanisms exist to utilize antimalware technologies to detect and eradicate malicious code.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - Antimalware software - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization utilize antimalware technologies to detect and eradicate malicious code?,10,Detect,,X,X,There is no evidence of a capability to utilize antimalware technologies to detect and eradicate malicious code.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize antimalware technologies to detect and eradicate malicious code.",CC6.8,CC6.8-POF4,,"9.7 10.1",10.1,10.1,"9.7 10.1",DSS05.01,,"TVM-02 UEM-09",CLS-14,SO12,,"CR 3.2 (7.4) SAR 3.2 (12.3.1) HDR 3.2 (14.4.1) NDR 3.2 (15.6.1)",,,,,12.2.1 ,8.7,12.2.1 ,,"6.9.2 6.9.2.1",,,,"T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1008, T1011.001, T1021.003, T1021.005, T1025, T1027, T1027.002, T1029, T1030, T1036, T1036.003, T1036.005, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1041, T1046, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1056.002, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1080, T1090, T1090.001, T1090.002, T1091, T1092, T1095, T1098.004, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1106, T1111, T1132, T1132.001, T1132.002, T1137, T1137.001, T1176, T1185, T1189, T1190, T1201, T1203, T1204, T1204.001, T1204.002, T1204.003, T1210, T1211, T1212, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1219, T1221, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1505.004, T1525, T1539, T1543, T1543.002, T1546.002, T1546.003, T1546.004, T1546.006, T1546.013, T1546.014, T1547.002, T1547.005, T1547.006, T1547.007, T1547.008, T1547.013, T1548, T1548.004, T1553.003, T1557, T1557.001, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1559.002, T1560, T1560.001, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1564.004, T1564.008, T1564.009, T1566, T1566.001, T1566.002, T1566.003, T1567, T1568, T1568.002, T1569, T1569.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.001, T1574.004, T1574.007, T1574.008, T1574.009, T1598, T1598.001, T1598.002, T1598.003, T1602, T1602.001, T1602.002, T1611","TS-1.0 TS-1.3",,,,,,,SI-3,SI-3,SI-3,SI-3,SI-3,,SI-3,SI-3,SI-3,,,SI-3,SI-3,SI-3,,SI-3,SI-3,SI-3,,SI-3,SI-3,3.14.2,"3.14.2.a 3.14.2.c 3.14.2.c.1 3.14.2.c.2","3.14.2[a] 3.14.2[b] 3.14.5[a] 3.14.5[b] 3.14.5[c]","A.03.14.02.a[01] A.03.14.02.a[02] A.03.14.02.c.01[01] A.03.14.02.c.01[02] A.03.14.02.c.02 A.03.14.02.ODP[01]",3.13.1e,,DE.CM-4,,,"5.1 5.1.1 5.1.2 5.2 5.3","5.2.1 5.2.2 5.3.1 5.3.2 5.3.2.1 5.3.3 5.3.4 5.3.5",,"5.2.1 5.2.2 5.3.1 5.3.2 5.3.2.1 5.3.3 5.3.4 5.3.5",,,"5.2.1 5.2.2 5.3.1 5.3.2 5.3.2.1 5.3.3 5.3.4 5.3.5","5.2.1 5.2.2 5.3.1 5.3.2 5.3.3 5.3.4 5.3.5","5.2.1 5.2.2 5.3.1 5.3.2 5.3.2.1 5.3.3 5.3.4 5.3.5","5.2.1 5.2.2 5.3.1 5.3.2 5.3.2.1 5.3.3 5.3.4 5.3.5",,U.1.5.1,6.1,5.2.3,"14.1 14.2",,,,"VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1",,5.10.4.2,SI.L1-3.14.2,SI.L1-3.14.2,"SI.L1-3.14.2 TBD - 3.13.1e","SI.L1-b.1.xii SI.L1-b.1.xiii SI.L1-b.1.xiv SI.L1-b.1.xv",SI.L2-3.14.2,SI.L2-3.14.2,SI-3,,,,"52.204-21(b)(1)(xii) 52.204-21(b)(1)(xii) 52.204-21(b)(1)(xiv) 52.204-21(b)(1)(xv)",,,,SI-3 ,SI-3 ,SI-3 ,SI-3 ,SI-3 ,SI-3,SI-3,SI-3,SI-3,SI-3,,D3.DC.Th.B.2,,,,,"2.S.A 8.S.A","1.M.A 2.M.A 9.M.B","1.M.A 2.M.A 9.M.B 1.L.A",SI-3,,"CIP-007-6 R3",8-305,17.2,"6.10 6.12 6.14",,,,5.8,SI-3 ,SI-3 ,SI-3 ,,,,,,,,,,17.04(7),,,,,,,,SI-3,SI-3,SI-3,,,§ 2447(c)(6),,,,,,,,,,,,,,,,"OPS-04 OPS-05",,,,"7.1 7.3 12.20 15.5",,,,,,,,,,,,,TPC-12,,"2-3-3-1 2-4-3-4 5-1-3-10",2-3-1-8,,,,,7.3.6 [OP.EXP.6],,,,,B4.c,,4,,,,,,,,"1417 1286 1284 1288 1289 1290",,,,,,,,,,,12.2.1,,,14.1.9.C.02,,,,4.5,11.3.3,,,,,,6.12,,"4.3 4.4",,,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- updated DFARS mapping - updated CIS 8.0" Endpoint Security,Automatic Antimalware Signature Updates,END-04.1,"Mechanisms exist to automatically update antimalware technologies, including signature definitions. ",- Antimalware software,,"Does the organization automatically update antimalware technologies, including signature definitions? ",9,Protect,,X,X,"There is no evidence of a capability to automatically update antimalware technologies, including signature definitions. ","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to automatically update antimalware technologies, including signature definitions. ",,,,10.2,10.2,10.2,10.2,,,"TVM-04 TVM-05",,,,HDR 3.2 (14.4.3(1)),,,,,12.2.1 ,8.7,12.2.1 ,,,,,,,TS-1.3,,,,,,,SI-3(2),,SI-3(2),SI-3(2),"SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3",3.14.4,3.14.2.b,3.14.4,A.03.14.02.b,,,,,,5.2,5.3.1,,5.3.1,,,5.3.1,5.3.1,5.3.1,5.3.1,,U.1.5.2.1,6.1,,,,,,,,,SI.L1-3.14.4,SI.L1-3.14.4,SI.L1-3.14.4,SI.L1-b.1.xiv,SI.L2-3.14.4,SI.L2-3.14.4,SI-3(2),,,,52.204-21(b)(1)(xiv),,,,SI-3(2),,SI-3(2),SI-3(2),,,,,,,,,,,,,2.S.A,"1.M.A 2.M.A","1.M.A 2.M.A","SI-2 SI-3",,,,,6.13,,,,,,,SI-3(2),,,,,,,,,,,,,,,,,,"SI-2 SI-3",,SI-3(2),,,§ 2447(c)(7),,,,,,,,,,,,,,,,,,,,7.9,,,,,,,,,,,,,,,,,,,,,,,,,,C1.d,,4,,,,,,,,,,,,,,,,,,,12.2.1,,,,,,,,11.3.4,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Documented Protection Measures,END-04.2,Mechanisms exist to document antimalware technologies.,,,Does the organization document antimalware technologies?,3,Identify,,X,,There is no evidence of a capability to document antimalware technologies.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document antimalware technologies.",,,,,,,,,,TVM-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.4,5.1.2,,,,,,,5.1.2,5.1.2,,U.1.5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-4 R-GV-6 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,,,,R-GV-4,,R-GV-6,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Centralized Management of Antimalware Technologies,END-04.3,Mechanisms exist to centrally-manage antimalware technologies.,- Antimalware software,E-MON-02,Does the organization centrally-manage antimalware technologies?,8,Detect,X,X,X,There is no evidence of a capability to centrally-manage antimalware technologies.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to centrally-manage antimalware technologies.",,,,"9.7 10.6",,10.6,"9.7 10.6",,,"TVM-03 TVM-04 TVM-05",,,,HDR 3.2 (14.4.3(1)),,,,,,,,,,,,,,TS-1.3,,,,,,,SI-3(1),,SI-3(1),SI-3(1),PL-9,PL-9,,,,,,,,,,PL-9,,,PL-9,PL-9,,,,,,,,,,,,5.3.4,,5.3.4,,,5.3.4,5.3.4,5.3.4,5.3.4,,U.1.5.2,,,,,,,,,,,,,,,,SI-3(1),,,,,,,,SI-3(1) ,,SI-3(1) ,SI-3(1) ,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-3(1) ,,,,,,,,,,,,,,,,,,,,SI-3(1),,,,,,,,,,,,,,,,,,,,,,,"7.7 12.20",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.3.5,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated CIS 8.0 Endpoint Security,Heuristic / Nonsignature-Based Detection,END-04.4,Mechanisms exist to utilize heuristic / nonsignature-based antimalware detection capabilities.,- Antimalware software,,Does the organization utilize heuristic / nonsignature-based antimalware detection capabilities?,8,Detect,,X,X,There is no evidence of a capability to utilize heuristic / nonsignature-based antimalware detection capabilities.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize heuristic / nonsignature-based antimalware detection capabilities.",,,,10.7,,10.7,10.7,,,,,,,,,,,,,,,,,,,,,TS-1.3,,,,,,,SI-3(7),,,,SI-3,,SI-3,SI-3,SI-3,,,SI-3,SI-3,SI-3,,SI-3,SI-3,SI-3,,SI-3,SI-3,,,,,,,,,,,,,,,,,,,,,U.1.5.1,,,,,,,,,,,,,,,,,,,,,,,,SI-3(7) ,,SI-3(7) ,SI-3(7) ,,,,,,,,,,,,,,,1.L.A,SI-3,,,,,,,,,,,,SI-3(7) ,,,,,,,,,,,,,,,,,,SI-3,,SI-3(7),,,,,,,,,,,,,,,,,,,,,,,7.8,,,,,,,,,,,,,,,2-4-3-4,,,,,,,,,,,,,,,,,,,,,1286,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Malware Protection Mechanism Testing,END-04.5,"Mechanisms exist to test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs. ",- EICAR test file,,"Does the organization test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs? ",5,Detect,,X,X,"There is no evidence of a capability to test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs. ","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to test antimalware technologies by introducing a known benign, non-spreading test case into the system and subsequently verifying that both detection of the test case and associated incident reporting occurs. ",,,,,,,,,,,,,,CR 3.3 (7.5.1),,,,,,,,,,,,,,,,,,,,,SI-3(6),,,,SI-3(6),,,,,SI-3(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,K.16.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Evolving Malware Threats,END-04.6,Mechanisms exist to perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software. ,,,Does the organization perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software? ,3,Detect,,X,,There is no evidence of a capability to perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software. ,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform periodic evaluations evolving malware threats to assess systems that are generally not considered to be commonly affected by malicious software. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.13.1e,,,,,5.1.2,"5.2.3 5.2.3.1",,"5.2.3 5.2.3.1",,,"5.2.3 5.2.3.1",,"5.2.3 5.2.3.1","5.2.3 5.2.3.1",,J.3.1,,,,,,,,,,,,TBD - 3.13.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.20,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Always On Protection,END-04.7,"Mechanisms exist to ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period. ",- Antimalware software,,"Does the organization ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period? ",9,Detect,,,X,"There is no evidence of a capability to ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period. ","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that anti-malware technologies are continuously running in real-time and cannot be disabled or altered by non-privileged users, unless specifically authorized by management on a case-by-case basis for a limited time period. ",,CC6.8-POF5,,,,,,,,"TVM-02 UEM-09",,,,,,,,,,,,,,,,,,"TS-1.0 TS-1.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,3.14.5,"3.14.2.a 3.14.2.c 3.14.2.c.1 3.14.2.c.2",3.14.5[c] ,,,,,,,5.3,"5.3.2 5.3.2.1 5.3.3 5.3.5",,"5.3.2 5.3.2.1 5.3.3 5.3.5",,,"5.3.2 5.3.2.1 5.3.3 5.3.5","5.3.2 5.3.3 5.3.5","5.3.2 5.3.2.1 5.3.3 5.3.5","5.3.2 5.3.2.1 5.3.3 5.3.5",,U.1.5.2.4,,,,,,,,,,SI.L1-3.14.5,SI.L1-3.14.5,SI.L1-3.14.5,SI.L1-b.1.xv,SI.L2-3.14.5,SI.L2-3.14.5,,,,,52.204-21(b)(1)(xv),,,,,,,,,,,,,,,,,,,,"2.S.A 8.S.A",,,,,,,,"6.12 6.14",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7.5 12.25",,,,,,,,,,,,,,,,2-3-1-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Software Firewall ,END-05,"Mechanisms exist to utilize host-based firewall software, or a similar technology, on all information systems, where technically feasible.",- NNT Change Tracker (https://www.newnettechnologies.com),,"Does the organization utilize host-based firewall software, or a similar technology, on all information systems, where technically feasible?",9,Protect,,,X,"There is no evidence of a capability to utilize host-based firewall software, or a similar technology, on all information systems, where technically feasible.","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize host-based firewall software, or a similar technology, on all information systems, where technically feasible.",,,,4.5,4.5,4.5,4.5,,,UEM-10,,,,,,,,,,,,,6.11.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.4,1.5.1,,1.5.1,,,,1.5.1,1.5.1,1.5.1,,I.3.23,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.S.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,§ 2447(c)(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1,,,,,,,,1416,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.3 4.4",,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Endpoint File Integrity Monitoring (FIM) ,END-06,Mechanisms exist to utilize File Integrity Monitor (FIM) technology to detect and report unauthorized changes to system files and configurations.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com) - File Integrity Monitor (FIM)",,Does the organization utilize File Integrity Monitor (FIM) technology to detect and report unauthorized changes to system files and configurations?,8,Protect,,X,X,There is no evidence of a capability to utilize File Integrity monitor (FIM) technology to detect and report unauthorized changes to system files and configurations.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.8,"CC7.1-POF2 CC7.1-POF3 CC7.1-POF4",,,,,,,,,SAP-06,SO12,,FR 3 (7.1),,,,,,,,,,,,,"T1003, T1003.003, T1020.001, T1027, T1027.002, T1036, T1036.001, T1036.005, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1040, T1047, T1053.006, T1056.002, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1072, T1080, T1098.001, T1098.002, T1098.003, T1114, T1114.001, T1114.002, T1114.003, T1119, T1127, T1129, T1133, T1136, T1136.001, T1136.002, T1136.003, T1176, T1185, T1189, T1190, T1195.003, T1203, T1204, T1204.002, T1204.003, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.010, T1218.011, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1222, T1222.001, T1222.002, T1485, T1486, T1490, T1491, T1491.001, T1491.002, T1495, T1505, T1505.001, T1505.002, T1505.004, T1525, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.002, T1546, T1546.002, T1546.004, T1546.006, T1546.008, T1546.009, T1546.010, T1546.013, T1547.002, T1547.003, T1547.004, T1547.005, T1547.006, T1547.008, T1547.011, T1547.013, T1548, T1548.004, T1550.001, T1550.004, T1552, T1552.004, T1553, T1553.001, T1553.003, T1553.005, T1553.006, T1554, T1556, T1556.001, T1556.003, T1556.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.009, T1564.003, T1564.004, T1564.006, T1564.008, T1564.009, T1565, T1565.001, T1565.002, T1569, T1569.002, T1574, T1574.001, T1574.004, T1574.006, T1574.007, T1574.008, T1574.009, T1574.012, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1609, T1611",TS-2.6,,,"PR.DS-P6 PR.DS-P8",,,,SI-7,,SI-7,SI-7,SI-7,,,SI-7,SI-7,,,,SI-7,SI-7,,SI-7,SI-7,SI-7,,SI-7,SI-7,,,,,,,PR.DS-6,DE.CM-09,,"11.5 11.5.1","10.3.4 11.5 11.5.2",,11.5.2,,,11.5.2,,11.5.2,11.5.2,,M.1.43,6.2,,,,,,"KIM:SG5.SP1 KIM:SG5.SP2 KIM:SG5.SP3 TM:SG4.SP1 TM:SG4.SP2 TM:SG4.SP3 TM:SG4.SP4",,,,,,,,,SI-7,,,,,,,,SI-7 ,,SI-7 ,SI-7 ,,SI-7,,SI-7,SI-7,,,"D3.PC.Se.Int.3 D3.PC.De.Int.2",,,,,,,2.L.D,SI-7,,,8-302,,,,,,,,SI-7 ,SI-7 ,,,,,,,,,,,,,,,,,,,,SI-7,,,,3.4.4(36)(e),,,,,,,,,,,,,,,,,,,"6.4 12.19",,,,,,,,,,,,,,,,1-5-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"14.1.12.C.01 14.1.12.C.02 14.1.12.C.03",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Integrity Checks ,END-06.1,Mechanisms exist to validate configurations through integrity checking of software and firmware.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com) - File Integrity Monitor (FIM)",,Does the organization validate configurations through integrity checking of software and firmware?,6,Detect,,,X,There is no evidence of a capability to validate configurations through integrity checking of software and firmware.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PR.DS-P6 PR.DS-P8",,,,SI-7(1),,SI-7(1),SI-7(1),SI-7(1),,,SI-7(1),SI-7(1),,,,SI-7(1),SI-7(1),,,,,,,,,,,,,,PR.DS-6,,,,,,,,,,,,,,L.24.3.1,6.2,,,,,,,,,,,,,,,SI-7(1),,,,,,,,SI-7(1) ,,SI-7(1) ,SI-7(1) ,,SI-7(1),,SI-7(1),SI-7(1),,,,,,,,,,,SI-7(1),,,,,,,,,,,,SI-7(1) ,,,,,,,,,,,,,,,,,,,,SI-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Integration of Detection & Response ,END-06.2,Mechanisms exist to detect and respond to unauthorized configuration changes as cybersecurity incidents.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com) - File Integrity Monitor (FIM)",,Does the organization detect and respond to unauthorized configuration changes as cybersecurity incidents?,9,Respond,,X,,There is no evidence of a capability to detect and respond to unauthorized configuration changes as cybersecurity incidents.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect and respond to unauthorized configuration changes as cybersecurity incidents.",CC7.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PR.DS-P6 PR.DS-P8",,,,SI-7(7),,SI-7(7),SI-7(7),SI-7(7),,,SI-7(7),SI-7(7),,,,SI-7(7),SI-7(7),,,,,,,,,,,,,,,,,,"10.7 10.7.1 10.7.2 10.7.3",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,J.2,,,,,,SITUATION-3.G.MIL3,,,,,,,,,,SI-7(7),,,,,,,,SI-7(7) ,,SI-7(7) ,SI-7(7) ,,SI-7(7),,SI-7(7),SI-7(7),,,,,,,,,,2.L.D,SI-7(7),,,,,,,,,,,,SI-7(7) ,,,,,,,,,,,,,,,,,,,,SI-7(7),,,,,,,,,,,,,,,,,,,,,,,7.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Automated Notifications of Integrity Violations,END-06.3,Automated mechanisms exist to alert incident response personnel upon discovering discrepancies during integrity verification. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization use automated mechanisms to alert incident response personnel upon discovering discrepancies during integrity verification? ,5,Respond,,,X,There is no evidence of a capability to alert incident response personnel up on discovering discrepancies during integrity verification. ,"SP-CMM1 is N/A, since a structured process is required to alert incident response personnel up on discovering discrepancies during integrity verification. ","SP-CMM2 is N/A, since a well-defined process is required to alert incident response personnel up on discovering discrepancies during integrity verification. ","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PR.DS-P6 PR.DS-P8",,,,SI-7(2),,,SI-7(2),SI-7(2),,,,SI-7(2),,,,,SI-7(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.10,,,,,,,,,,,,,,,,,,,,,,,,SI-7(2),,,SI-7(2),,SI-7(2),,,SI-7(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Endpoint Security,Automated Response to Integrity Violations,END-06.4,Automated mechanisms exist to implement remediation actions when integrity violations are discovered. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization use automated mechanisms to implement remediation actions when integrity violations are discovered? ,5,Respond,,,X,There is no evidence of a capability to implement remediation actions when integrity violations are discovered. ,"SP-CMM1 is N/A, since a structured process is required to implement remediation actions when integrity violations are discovered. ","SP-CMM2 is N/A, since a well-defined process is required to implement remediation actions when integrity violations are discovered. ","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PR.DS-P6 PR.DS-P8",,,,SI-7(5),,,SI-7(5),SI-7(5),,,,SI-7(5),,,,,SI-7(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.13,,,,,,,,,,,,,,,,,,,,,,,,SI-7(5),,,SI-7(5),,SI-7(5),,,SI-7(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Endpoint Security,Boot Process Integrity,END-06.5,Automated mechanisms exist to verify the integrity of the boot process of information systems.,,,Does the organization use automated mechanisms to verify the integrity of the boot process of information systems?,5,Protect,,,X,There is no evidence of a capability to verify the integrity of the boot process of information systems.,"SP-CMM1 is N/A, since a structured process is required to verify the integrity of the boot process of information systems.","SP-CMM2 is N/A, since a well-defined process is required to verify the integrity of the boot process of information systems.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,"CR 3.14 (7.16) EDR 3.14 (13.9.1) EDR 3.14 (13.9.3(1)) HDR 3.14 (14.9.1) HDR 3.14 (14.9.3(1)) NDR 3.14 (15.11.1) NDR 3.14 (15.11.3(1))",,,,,,,,,,,,,,,,,,,,,SI-7(9),,,,SI-7(9),,,,,SI-7(9),,,,,,,,,,,,,,,,3.14.1e,,,,,,,,,,,,,,,,H.14,,,,,,,,,,,,TBD - 3.14.1e,,,SI.L3-3.14.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Endpoint Security,Protection of Boot Firmware,END-06.6,Automated mechanisms exist to protect the integrity of boot firmware in information systems.,,,Does the organization use automated mechanisms to protect the integrity of boot firmware in information systems?,5,Protect,,,X,There is no evidence of a capability to protect the integrity of boot firmware in information systems.,"SP-CMM1 is N/A, since a structured process is required to protect the integrity of boot firmware in information systems.","SP-CMM2 is N/A, since a well-defined process is required to protect the integrity of boot firmware in information systems.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,CCM-06,,,"EDR 3.14 (13.9.3(1)) HDR 3.14 (14.9.3(1)) NDR 3.14 (15.11.3(1))",,,,,,,,,,,,,,,,,,,,,SI-7(10),,,,SI-7(10),,,,,SI-7(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-7(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Endpoint Security,Binary or Machine-Executable Code,END-06.7,Mechanisms exist to prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source code.,,,Does the organization prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source code?,5,Protect,,X,X,There is no evidence of a capability to prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source code.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the use of binary or machine-executable code from sources with limited or no warranty and without access to source code.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-7(14),,,SI-7(14),CM-7(8),,,,,CM-7(8),,,,,,"CM-7(8) SI-7(14)",,,,"CM-7(8) SI-7(14)","CM-7(8) SI-7(14)",,,,,,,,,,,,,,,,,,,,,M.1.39,,,,,,,,,,,,,,,,,,,,,,,,SI-7(14),,,SI-7(14),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Host Intrusion Detection and Prevention Systems (HIDS / HIPS) ,END-07,Mechanisms exist to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive systems.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com) - File Integrity Monitor (FIM)",,Does the organization utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive systems?,9,Protect,,X,X,There is no evidence of a capability to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive systems.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Host-based Intrusion Detection / Prevention Systems (HIDS / HIPS) on sensitive systems.",CC6.8,,,"13.2 13.7",,13.2,"13.2 13.7",,,,SAP-06,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.14.6.a 3.14.6.a.1 3.14.6.a.2 3.14.6.b 3.14.6.c",,,,,,,,,,,,,,,,,,,N.6,,,,,,,,,5.10.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.L.A 2.L.C 2.L.D",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7.4 7.5 12.18 12.24 23.6",,,,,,,,,,,,,,,,,,,,,7.6.1 [OP.MON.1],,,,,,,,,,,,,,,"1341 1034 1418 0345",,,,,,,,,,,,,,18.4.13.C.01,,,,,,,,,,,,,"4.3 4.4",,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Phishing & Spam Protection ,END-08,Mechanisms exist to utilize anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail.,,,Does the organization utilize anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail?,10,Protect,,X,X,There is no evidence of a capability to utilize anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize anti-phishing and spam protection technologies to detect and take action on unsolicited messages transported by electronic mail.",,,,9.6,,9.6,9.6,,,,,,,,,,,,,,,,,,,,"T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1204, T1204.001, T1204.002, T1204.003, T1221, T1566, T1566.001, T1566.002, T1566.003, T1598, T1598.001, T1598.002, T1598.003",TS-1.8,,,,,,,SI-8,,SI-8,SI-8,SI-8,,,SI-8,SI-8,,,,SI-8,SI-8,,,,,,,,,,,,,,,,,,5.4.1,,5.4.1,,,5.4.1,5.4.1,5.4.1,5.4.1,,D.11,,,,,,,,8.3,5.10.4.3,,,,,,,SI-8,,,,,,,,SI-8 ,,SI-8 ,SI-8 ,,SI-8,,SI-8,SI-8,,,,,,,,"1.S.A 8.S.A",1.M.A,"1.M.A 1.L.A",SI-8,,,8-302,,,,,,,,SI-8 ,SI-8 ,III.D.1.a,,,,,,,,,,,,,,,,,,,SI-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-16,,2-4-3-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"15.2.21.C.01 15.2.23.C.01 15.2.23.C.02 15.2.23.C.03 15.2.24.C.01 15.2.24.C.02",,,,,14.1.6,,,,,,,,"4.3 4.4",,,,,,,,,,,,x,Lockton,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Central Management,END-08.1,Mechanisms exist to centrally-manage anti-phishing and spam protection technologies.,,,Does the organization centrally-manage anti-phishing and spam protection technologies?,5,Protect,X,X,X,There is no evidence of a capability to centrally-manage anti-phishing and spam protection technologies.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to centrally-manage anti-phishing and spam protection technologies.",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-1.8,,,,,,,SI-8(1),,SI-8(1),SI-8(1),PL-9,PL-9,,,,,,,,,,PL-9,,,PL-9,PL-9,,,,,,,,,,,,,,,,,,,,,,D.11,,,,,,,,,,,,,,,,SI-8(1),,,,,,,,SI-8(1),,SI-8(1),SI-8(1),,,,,,,,,,,,,1.S.A,1.M.A,"1.M.A 1.L.A",,,,,,,,,,,,,SI-8(1),,,,,,,,,,,,,,,,,,,,SI-8(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.3 4.4",,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Automatic Spam and Phishing Protection Updates,END-08.2,Mechanisms exist to automatically update anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices.,,,Does the organization automatically update anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices?,8,Protect,,,X,There is no evidence of a capability to automatically update anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to automatically update anti-phishing and spam protection technologies when new releases are available in accordance with configuration and change management practices.",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-1.8,,,,,,,SI-8(2),,SI-8(2),SI-8(2),SI-8(2),,,SI-8(2),SI-8(2),,,,SI-8(2),SI-8(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,U.1.5.4,,,,,,,,,,,,,,,,SI-8(2),,,,,,,,SI-8(2) ,,SI-8(2) ,SI-8(2) ,,SI-8(2),,SI-8(2),SI-8(2),,,,,,,,"1.S.A 8.S.A",1.M.A,"1.M.A 1.L.A",SI-8(2),,,,,,,,,,,,SI-8(2) ,,,,,,,,,,,,,,,,,,,,SI-8(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Trusted Path,END-09,Mechanisms exist to establish a trusted communications path between the user and the security functions of the operating system.,- Active Directory (AD) Ctrl+Alt+Del login process,,Does the organization establish a trusted communications path between the user and the security functions of the operating system?,9,Protect,,,X,There is no evidence of a capability to establish a trusted communications path between the user and the security functions of the operating system.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish a trusted communications path between the user and the security functions of the operating system.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-11,,,,SC-11,,,,,SC-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.4,,,,,,,KIM:SG4.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.37,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Mobile Code,END-10,Mechanisms exist to address mobile code / operating system-independent applications. ,,,Does the organization address mobile code / operating system-independent applications? ,4,Detect,,X,X,There is no evidence of a capability to address mobile code / operating system-independent applications. ,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address mobile code / operating system-independent applications. ",,,,,,,,,,,,,,"CR 2.4 (6.6) SAR 2.4 (12.2.1) SAR 2.4 (12.2.1(a)) SAR 2.4 (12.2.1(b)) SAR 2.4 (12.2.1(c)) SAR 2.4 (12.2.3(1)) EDR 2.4 (13.2.1) EDR 2.4 (13.2.1) EDR 2.4 (13.2.1(a)) EDR 2.4 (13.2.1(b)) EDR 2.4 (13.2.1(c)) EDR 2.4 (13.2.3(1)) HDR 2.4 (14.2.1) HDR 2.4 (14.2.1(a)) HDR 2.4 (14.2.1(b)) HDR 2.4 (14.2.1(c)) HDR 2.4 (14.2.3(1)) NDR 2.4 (15.4.1) NDR 2.4 (15.4.1(a)) NDR 2.4 (15.4.1(b)) NDR 2.4 (15.4.1(c)) NDR 2.4 (15.4.3(1))",,,,,,,,,,,,,"T1021.003, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1059, T1059.005, T1059.007, T1068, T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1189, T1190, T1203, T1210, T1211, T1212, T1218.001, T1548, T1548.004, T1559, T1559.001, T1559.002, T1611",,,,,,,,"SC-18 SC-18(1) SC-18(2) SC-18(3) SC-18(4) SC-27",,SC-18,SC-18,"SC-18 SC-18(1) SC-18(2) SC-18(3) SC-18(4) SC-27",,,SC-18,SC-18,"SC-18(1) SC-18(2) SC-18(3) SC-18(4) SC-27",,,SC-18,SC-18,,"SC-18 SC-18(2) SC-27",,,,SC-27,"SC-18 SC-18(2) SC-27",3.13.13,"3.13.13.a 3.13.13.b","3.13.13[a] 3.13.13[b]","A.03.13.13.a[01] A.03.13.13.a[02] A.03.13.13.b[01] A.03.13.13.b[02] A.03.13.13.b[03]",3.13.1e,,DE.CM-5,,,,,,,,,,,,,,U.1.15.1,,,,,,,,,,,SC.L2-3.13.13,"SC.L2-3.13.13 TBD - 3.13.1e",,SC.L2-3.13.13,SC.L2-3.13.13,SC-18,,,,,,,,SC-18,,SC-18,SC-18,,SC-18,,SC-18,SC-18,,,D3.PC.De.E.5,,,,,,,"1.L.A 6.L.D","SC-18 SC-18(1) SC-18(2)",,,,,,,,,,,,SC-18,III.D.1.d,,,,,,,,,,,,,,,,,,,SC-18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Thin Nodes,END-11,Mechanisms exist to configure thin nodes to have minimal functionality and information storage. ,,,Does the organization configure thin nodes to have minimal functionality and information storage? ,4,Protect,,X,X,There is no evidence of a capability to configure thin nodes to have minimal functionality and information storage. ,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure thin nodes to have minimal functionality and information storage. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-25,,,,SC-25,,,,,SC-25,,,,,,,,,,,,,,,,3.13.4e,,,,,,,,,,,,,,,,M.1.22,,,,,,,,,,,,TBD - 3.13.4e,,,SC.L3-3.13.4e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-613,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Port & Input / Output (I/O) Device Access ,END-12,Mechanisms exist to physically disable or remove unnecessary connection ports or input/output devices from sensitive systems.,,,Does the organization physically disable or remove unnecessary connection ports or input/output devices from sensitive systems?,6,Protect,,X,X,There is no evidence of a capability to physically disable or remove unnecessary connection ports or input/output devices from sensitive systems.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to physically disable or remove unnecessary connection ports or input/output devices from sensitive systems.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1025, T1052, T1052.001, T1091, T1200",,,,,,,,SC-41,,,,SC-41,,,,,SC-41,,SC-41,SC-41,SC-41,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.61,,,,,,,TM:SG2.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SC-41 Endpoint Security,Sensor Capability,END-13,"Mechanisms exist to configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users.",,,"Does the organization configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users?",7,Protect,,X,X,"There is no evidence of a capability to configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users.","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure embedded sensors on systems to: ▪ Prohibit the remote activation of sensing capabilities; and ▪ Provide an explicit indication of sensor use to users.",,,,,,,,,,,GVN-06,,,,,,,,,,,,,,,,,,,,,,,,SC-42,,,,SC-42,,,,,SC-42,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.63,,,,,,,TM:SG2.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Authorized Use,END-13.1,Mechanisms exist to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.,,,Does the organization utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes?,8,Protect,,X,,There is no evidence of a capability to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize organization-defined measures so that data or information collected by sensors is only used for authorized purposes.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-42(2),,,,SC-42(2),,,,,SC-42(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 5.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Sec 8 Sec 9 Sec 13.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Notice of Collection,END-13.2,Mechanisms exist to notify individuals that Personal Data (PD) is collected by sensors.,"- Visible or auditory alert - Data Protection Impact Assessment (DPIA)",,Does the organization notify individuals that Personal Data (PD) is collected by sensors?,6,Identify,,X,X,There is no evidence of a capability to notify individuals that Personal Data (PD) is collected by sensors.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • A Data Protection Impact Assessment (DPIA) is used to help ensure the protection of Personal Data (PD) processed, stored or transmitted on endpoint devices, so that cybersecurity & data privacy controls are implemented in accordance with applicable statutory, regulatory and contractual obligations. • Administrative processes exist and technologies are configured to notify individuals that Personal Data (PD) is collected by sensors.","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to notify individuals that Personal Data (PD) is collected by sensors.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-42(4),,,,,SC-42(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.6.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Collection Minimization,END-13.3,Mechanisms exist to utilize sensors that are configured to minimize the collection of information about individuals.,,,Does the organization utilize sensors that are configured to minimize the collection of information about individuals?,8,Protect,,X,,There is no evidence of a capability to utilize sensors that are configured to minimize the collection of information about individuals.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize sensors that are configured to minimize the collection of information about individuals.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize sensors that are configured to minimize the collection of information about individuals.",,,,,,,,,,,,,,,,,,,,,,,,5.5,,,,,,,,,,,,,,,"PM-25 SA-8(33) SC-42(5)","PM-25 SA-8(33)",,,,SC-42(5),,,,,,PM-25,,,,PM-25,,,,,,,,,,,,,,,,,,,,,,P.5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6-1-1308(3),,,,,,,,,,,,,,,,,,,,,Art 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Embedded Technology ,Sensor Delivery Verification,END-13.4,Mechanisms exist to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.,,,Does the organization verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles?,4,Protect,,X,,There is no evidence of a capability to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.,"SP-CMM1 is N/A, since a structured process is required to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify embedded technology sensors are configured so that data collected by the sensor(s) is only reported to authorized individuals or roles.",,,,,,,,,,,GVN-06,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-42(1),,,,,SC-42(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.9.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Collaborative Computing Devices ,END-14,"Mechanisms exist to unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones. ",- Unplug devices when not needed,,"Does the organization unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones? ",9,Protect,,X,X,"There is no evidence of a capability to unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones. ","Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones. ","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones. ","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to unplug or prohibit the remote activation of collaborative computing devices with the following exceptions: ▪ Networked whiteboards; ▪ Video teleconference cameras; and ▪ Teleconference microphones. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"SC-15 SC-15(1)",SC-15,SC-15,SC-15,"SC-15 SC-15(1)",,SC-15,SC-15,SC-15,SC-15(1),,SC-15,SC-15,SC-15,,,,,,,,3.13.12,"3.13.12.a 3.13.12.b","3.13.12[a] 3.13.12[b] 3.13.12[c]","A.03.13.12.a A.03.13.12.b",,,,,,,,,,,,,,,,,M.2.4,,,,,,,,,,,SC.L2-3.13.12,SC.L2-3.13.12,,SC.L2-3.13.12,SC.L2-3.13.12,SC-15,,,,,,,,SC-15 ,SC-15 ,SC-15 ,SC-15 ,SC-15 ,SC-15,SC-15,SC-15,SC-15,SC-15,,,,,,,,,,SC-15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-15,SC-15,SC-15,,,,,,,,,,,,,,,,,,,,,,,5.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0231,,,,,,Article 26,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Disabling / Removal In Secure Work Areas,END-14.1,Mechanisms exist to disable or remove collaborative computing devices from critical information systems and secure work areas.,,,Does the organization disable or remove collaborative computing devices from critical information systems and secure work areas?,5,Protect,,X,X,There is no evidence of a capability to disable or remove collaborative computing devices from critical information systems and secure work areas.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones. ","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • Administrative processes exist and technologies are configured to unplug or prohibit the remote activation of collaborative computing devices, except for networked whiteboards, Video Teleconference Cameras (VTC) and teleconference microphones. ","Endpoint Security (END) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Endpoint Security (END) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-15(3),,,,SC-15(3),,,,,SC-15(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Explicitly Indicate Current Participants,END-14.2,Automated mechanisms exist to provide an explicit indication of current participants in online meetings and teleconferences.,,,Does the organization use automated mechanisms to provide an explicit indication of current participants in online meetings and teleconferences?,5,Protect,,X,X,There is no evidence of a capability to provide an explicit indication of current participants in online meetings and teleconferences.,"SP-CMM1 is N/A, since a structured process is required to provide an explicit indication of current participants in online meetings and teleconferences.","SP-CMM2 is N/A, since a well-defined process is required to provide an explicit indication of current participants in online meetings and teleconferences.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide an explicit indication of current participants in online meetings and teleconferences.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide an explicit indication of current participants in online meetings and teleconferences.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-15(4),,,,SC-15(4),,,,,SC-15(4),,,,,,,,,,,,,,,A.03.13.12.a,,,,,,,,,,,,,,,,,M.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-15(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Endpoint Security,Hypervisor Access ,END-15,Mechanisms exist to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.,,,Does the organization restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems?,9,Protect,,X,X,There is no evidence of a capability to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Administrative processes exist and technologies are configured to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature. • Administrative processes exist and technologies are configured to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to hypervisor management functions or administrative consoles for systems hosting virtualized systems.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,U.1.9.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Restrict Access To Security Functions,END-16,Mechanisms exist to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.,- Windows Defender Device Guard,,Does the organization ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions?,7,Protect,,X,X,There is no evidence of a capability to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure security functions are restricted to authorized individuals and enforce least privilege control requirements for necessary job functions.",,,,,,,,,,,,,,,,,,,,,,,6.10.1.3,,,,,,,,,,,,SC-3,,,SC-3,SC-3,,,,SC-3,,,,,SC-3,,,,,,,,,,,,3.14.3e,,,,"A01:2021 A05:2021","1.2 1.3.1 2.2.1 11.3.4 11.3.4.1","2.2.3 10.7.1 11.4.5 11.4.6",,"2.2.3 11.4.5",,11.4.5,"2.2.3 11.4.5",,"2.2.3 11.4.5","2.2.3 10.7.1 11.4.5 11.4.6",,H.2.3,,,,,,,,,,,,,,,SI.L3-3.14.3e,,,,,,,,,SC-3,,,SC-3,,SC-3,,,SC-3,,,,,,,,,,,,,,8-105,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Endpoint Security,Host-Based Security Function Isolation,END-16.1,Mechanisms exist to implement underlying software separation mechanisms to facilitate security function isolation. ,- Windows Defender Device Guard,,Does the organization implement underlying software separation mechanisms to facilitate security function isolation? ,7,Protect,,,X,There is no evidence of a capability to implement underlying software separation mechanisms to facilitate security function isolation. ,"Endpoint Security (END) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Asset management is informally assigned as an additional duty to existing IT/cybersecurity personnel. • IT/cybersecurity personnel use an informal process to design, build and maintain secure configurations for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run Anti-malware software. • Data management is decentralized.","Endpoint Security (END) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Endpoint security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for endpoint security management. • Anti-malware technologies are decentralized but are deployed on all technology assets that can run anti-malware software. • Physical controls, administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Endpoint Security (END) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Configuration management is centralized for all operating systems, applications, servers and other configurable technologies. • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including test, development, staging and production environments. • Configurations conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • A Security Operations Center (SOC), or similar function, centrally manages anti-malware and anti-phishing technologies, in accordance with industry-recognized practices for Prevention, Detection & Response (PDR) activities. • A Security Incident Event Manager (SIEM), or similar automated tool, is tuned to detect and respond to anomalous behavior that could indicate account compromise or other malicious activities. • The Human Resources (HR) department ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. • Unauthorized configuration changes are responded to in accordance with an Incident Response Plan (IRP) to determine if the any unauthorized configuration is malicious in nature.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement underlying software separation mechanisms to facilitate security function isolation. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement underlying software separation mechanisms to facilitate security function isolation. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-7(12),,,,SC-7(12),,,,,SC-7(12),,,,,,,,,,,,,,,,,,,,,1.4,2.2.3,,2.2.3,,,2.2.3,,2.2.3,2.2.3,,N.2.1,,,,,,,,,,,,,,,,SC-7(12),,,,,,,,SC-7(12),,SC-7(12),SC-7(12),,SC-7(12),,SC-7(12),SC-7(12),,,,,,,,,,,SC-7(12),,,,,,,,,,,SC-7(12),SC-7(12),,,,,,,,,,,,,,,,,,,,SC-7(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Human Resources Security Management,HRS-01,Mechanisms exist to facilitate the implementation of personnel security controls.,,,Does the organization facilitate the implementation of personnel security controls?,10,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of personnel security controls.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel establishes redundancy for vital cybersecurity & data privacy staff.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Human Resources (HR) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for personnel management. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to personnel management. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including HR practices. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of personnel security controls.","CC1.1 CC1.4 CC1.5","CC1.1-POF3 CC1.2-POF1 CC1.2-POF2 CC1.2-POF3 CC1.2-POF4 CC1.4-POF1 CC1.4-POF2 CC1.4-POF3 CC1.5-POF2 CC1.5-POF3 CC1.5-POF4 CC1.5-POF5 CC2.2-POF3 CC2.3-POF4 CC3.3-POF1 CC3.3-POF2 CC3.3-POF3 CC3.3-POF4 CC3.3-POF5",6,,,,,"APO07.01 APO07.04 APO07.05 APO07.06","Principle 1 Principle 4 Principle 5","HRS-01 HRS-02 HRS-03 HRS-04",,"SO7 SO8",,,RQ-05-06,8.4.2.1,,"7.3 7.3(a) 7.3(b) 7.3(c) 7.2(d)",,5.4,,,,,,,,"OR-3.0 PS-2.0",Sec 4(D)(2)(b),GOVERN 4.1,PR.PO-P9,,,,PS-1,PS-1,PS-1,PS-1,PS-1,,PS-1,PS-1,PS-1,,,PS-1,PS-1,PS-1,3.2.4,PS-1,PS-1,PS-1,PS-1,PS-1,PS-1,NFO - PS-1,"3.15.3.a 3.15.3.c","3.2.2[a] 3.2.2[b] 3.2.2[c] 3.9.2[a]",,,,PR.IP-11,"GV.RR-02 GV.RR-03 GV.RR-04 PR.AA",,,"12.2 12.2.1 12.7 12.7.1",,,,,12.2.1,,"12.2.1 12.7.1","12.2.1 12.7.1",,C.4,"5.1 5.3A","2.1.1 7.1.2 8.4.3",,,,,HRM:SG3.SP4,,5.12,,,,,,,PS-1,,,,,,,,PS-1 ,PS-1 ,PS-1 ,PS-1 ,PS-1 ,PS-1,PS-1,PS-1,PS-1,PS-1,,D1.R.St.E.4,,,314.4(e)(2),,3.S.A,,,"PS-1 2.C.3","120.15 120.16 120.39 120.40 120.41",,8-307,"2.1 13.1",,,,,,PS-1 ,PS-1 ,PS-1 ,,,,,,,,,,,,,,,38-99-20(D)(2)(b),,,PS-1,PS-1,PS-1,,,,3.3.2(15),,,"Art 32.1 Art 32.2 Art 32.4",Article 21.2(i),,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,19.1,,,,,,,,,,,,"1-5 2-5","TPC-6 TPC-71",3.3.1,"1-9-1 1-9-6 2-6-4","1-7 1-7-2 1-8",,,"Sec 19 Sec 20",,,,,,,B6.a,,,,,,,,,,,,,,,,,,,,Article 21,"4.5.2 4.5.2.1 4.5.2.2 4.5.2.3 4.5.2.4 4.5.2.5 4.5.2.6 4.5.2.7 4.5.2.8",,6.1,"9.2.10.C.01 9.2.11.C.01 9.2.11.C.02 14.3.5.C.01 15.1.7.C.01",,,,,"3.5.1 3.5.2",,,,,,5.13,,1.5,,,,,,,,,,,,x,NAIC,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Human Resources Security,Position Categorization ,HRS-02,Mechanisms exist to manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions.,,"E-HRS-01 E-HRS-02 E-HRS-03 E-HRS-04 E-HRS-11 E-HRS-22",Does the organization manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions?,8,Identify,,X,,There is no evidence of a capability to manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions.",CC1.2,"CC1.2-POF1 CC1.2-POF2 CC1.2-POF3 CC1.2-POF4",,,,,,,Principle 2,,,,,,,,,7.2(a),,,6.1.1,,,,,,,,,,,,,,PS-2,PS-2,PS-2,PS-2,PS-2,,PS-2,PS-2,PS-2,,,PS-2,PS-2,PS-2,,,,,,,,,,,,,,,,,"12.4 12.4.1","12.7 12.7.1",,,,,,,12.7.1,12.7.1,,E.1.3.4,5.1,"2.1.1 7.1.2",,,,"ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-4.E.MIL3 ARCHITECTURE-5.E.MIL3 PROGRAM-3.E.MIL3",,,,,,,,,,PS-2,,,,,,,,PS-2 ,PS-2 ,PS-2 ,PS-2 ,PS-2 ,PS-2,PS-2,PS-2,PS-2,PS-2,,,,,,,,,,PS-2,,,8-307,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-2,PS-2,PS-2,,,,3.3.2(15),,,,,,,,,,,,,,,,,,,19.1,,,,,,,,,,,,1-5-1-2,TPC-26,,1-9-2,,,,,,,,,,,,,,,,Principle 5.1,Principle 5.1,Principle 5.1,,,,,,,,,,,,,,"6.1.1.13.PB 6.1.3.13.PB",,1.8,"9.2.10.C.01 9.2.10.C.02 9.2.11.C.01 9.2.11.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Users With Elevated Privileges,HRS-02.1,"Mechanisms exist to ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question.",,"E-HRS-02 E-HRS-03 E-HRS-04 E-HRS-11 E-HRS-22","Does the organization ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question?",10,Identify,,X,,"There is no evidence of a capability to ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question.","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes evaluate individual-specific risk for individuals requiring elevated privileges or access to sensitive/regulated data.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes evaluate individual-specific risk for individuals requiring elevated privileges or access to sensitive/regulated data.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that every user accessing a system that processes, stores, or transmits sensitive information is cleared and regularly trained to handle the information in question.",CC1.4,,,,,,,,Principle 4,,,SO3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"12.7 12.7.1",,,,,,,12.7.1,12.7.1,,L.5.3,5.3A,"2.1.1 7.1.2",,,,"ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-4.E.MIL3 ARCHITECTURE-5.E.MIL3 PROGRAM-3.E.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"120.15 120.16 120.39 120.40 120.41",,,2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5.1,Principle 5.1,Principle 5.1,,,,,,,,,,,,,,,,,,,,,,"3.5.2 6.1.5",,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Probationary Periods,HRS-02.2,Mechanisms exist to identify newly onboarded personnel for enhanced monitoring during their probationary period.,,,Does the organization identify newly onboarded personnel for enhanced monitoring during their probationary period?,1,Detect,,X,,There is no evidence of a capability to identify newly onboarded personnel for enhanced monitoring during their probationary period.,"SP-CMM1 is N/A, since a structured process is required to identify newly onboarded personnel for enhanced monitoring during their probationary period.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify newly onboarded personnel for enhanced monitoring during their probationary period.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify newly onboarded personnel for enhanced monitoring during their probationary period.",,"CC1.4-POF2 CC1.4-POF3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(21),,,,,SI-4(21),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,E.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.5.2 4.5.2.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Roles & Responsibilities ,HRS-03,Mechanisms exist to define cybersecurity responsibilities for all personnel. ,"- NIST NICE framework - RACI diagram","E-HRS-01 E-HRS-02 E-HRS-03 E-HRS-04 E-HRS-11 E-HRS-13 E-HRS-18 E-HRS-22",Does the organization define cybersecurity responsibilities for all personnel? ,10,Identify,X,X,,There is no evidence of a capability to define cybersecurity responsibilities for all personnel. ,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define cybersecurity responsibilities for all personnel. ","CC1.2 CC1.3 CC2.2","CC1.2-POF1 CC1.3-POF3 CC1.3-POF4 CC1.3-POF5 CC2.2-POF5 CC5.3-POF2 CC7.4-POF1",,,,,,DSS06.03,"Principle 2 Principle 3 Principle 14","CEK-02 GRC-06 HRS-09 STA-04",IAM-16,SO3,,CR 2.1 (6.3.3(2)),"RQ-05-03 RQ-06-04","8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4",,"7.3 7.3(b)","6.1.1 7.2 ",5.2,"6.1.1 7.2 ",,"6.3 6.3.1 6.3.1.1 6.4.2",,,,,,,"GOVERN 2.0 GOVERN 2.1","ID.IM-P2 GV.PO-P2 GV.PO-P3 CM.PO-P2",PO.2.1,,,PM-13,,,,"PM-13 PS-9",,PS-9,PS-9,PS-9,PM-13,,PS-9,PS-9,PS-9,,PM-13,,,PM-13,PM-13,,,3.15.3.a,,,,"PO.2 PO.2.1 PO.2.2 PO.2.3","ID.AM-6 ID.GV-2 DE.DP-1",GV.RR-02,,"12.4 12.4.1","1.1.2 2.1.2 3.1.2 3.7.8 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 A3.1.3",,,,,,,"1.1.2 2.1.2 3.1.2 3.7.8 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 A3.1.3","1.1.2 2.1.2 3.1.2 3.7.8 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 A3.1.3",12.1.3,G.1.1,,"2.1.1 7.1.2",,,,"ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-3.A.MIL1 WORKFORCE-3.B.MIL1 WORKFORCE-3.C.MIL2 WORKFORCE-3.D.MIL2 WORKFORCE-3.E.MIL3 WORKFORCE-3.F.MIL3 WORKFORCE-4.E.MIL3 ARCHITECTURE-5.E.MIL3 PROGRAM-3.E.MIL3","EF:SG2.SP2 GG2.GP4 HRM:SG3.SP1 OTA:SG3.SP2",,,,,,,,,PM-13,,,,,,,,,,,,,PS-9,PS-9,PS-9,PS-9,PS-9,,,,,,164.308(a)(2),,,,PS-9,,,"8-103 8-307",,,,,,5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.1(12) 3.3.2(15)",Art 5.2(c),,,,,,,,,,,,,,PSS-08,,,,"4.13 18.10",,,,,,,,,,,,,TPC-26,3.1.4,,"1-2 1-2-1 1-2-1-1",,,,,"6.4 [ORG.4] 8.2.1 [MP.PER.1] 8.2.2 [MP.PER.2]",,,,,"A1.b C1.e",,,,,,,,,,0717,,,14,Article 27,,,,,,Article 21,"4.3.1 4.3.1.1 6.1.1 6.1.1.13.PB 6.1.3.13.PB 7.2",,1.8,"3.3.4.C.01 3.3.4.C.02 3.3.4.C.03 3.3.4.C.04 3.3.4.C.05 3.3.5.C.01 3.3.5.C.02 3.3.6.C.01 3.3.6.C.02 3.3.6.C.03 3.3.6.C.04 3.3.6.C.05 3.3.6.C.06 3.3.7.C.01 3.3.8.C.01 3.3.8.C.02 3.3.8.C.03 3.3.8.C.04 3.3.8.C.05 3.3.9.C.01 3.3.10.C.01 3.3.10.C.02 3.3.10.C.03 3.3.10.C.04 3.3.11.C.01 3.3.12.C.01 3.3.13.C.01 3.3.13.C.02 3.3.14.C.01 3.3.14.C.02 3.3.14.C.03 3.3.15.C.01 3.4.10.C.01 3.4.10.C.02",,,,,,,,,,,,,1.2,,,,,,,,Art 12,,,,x,,,x,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,User Awareness ,HRS-03.1,Mechanisms exist to communicate with users about their roles and responsibilities to maintain a safe and secure working environment.,,"E-HRS-01 E-HRS-13 E-HRS-16 E-HRS-18",Does the organization communicate with users about their roles and responsibilities to maintain a safe and secure working environment?,9,Identify,,X,,There is no evidence of a capability to communicate with users about their roles and responsibilities to maintain a safe and secure working environment.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes formally educate users about their duties to protect sensitive/regulated data.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes formally educate users about their duties to protect sensitive/regulated data, which includes ensuring personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to communicate with users about their roles and responsibilities to maintain a safe and secure working environment.",CC1.4,,,,,,,,Principle 4,,,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)",,,,,,,,,,,,GOVERN 4.1,GV.PO-P2,,,,,,,,,,,,,,,,,,,,,,,,,,"3.15.3.a 3.15.3.b",,,,,,,,,"1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.6.3",,12.1.3,12.1.3,12.1.3,12.1.3,,"1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.6.3","1.1.2 2.1.2 3.1.2 4.1.2 5.1.2 6.1.2 7.1.2 8.1.2 9.1.2 10.1.2 11.1.2 12.1.3 12.6.3",12.1.3,O.35,,,,,,"WORKFORCE-1.E.MIL2 WORKFORCE-2.A.MIL1 WORKFORCE-2.B.MIL2 WORKFORCE-2.C.MIL2 WORKFORCE-2.D.MIL2 WORKFORCE-2.E.MIL3 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B6.a,,,,,,,,,,0824,,,,,,,,,,,"4.5.2 4.5.2.1 4.5.2.2 4.5.2.3 4.5.2.4 4.5.2.5 4.5.2.6 4.5.2.7 4.5.2.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Competency Requirements for Security-Related Positions,HRS-03.2,Mechanisms exist to ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set. ,,"E-HRS-21 E-HRS-23",Does the organization ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set? ,9,Identify,,X,,There is no evidence of a capability to ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set. ,"SP-CMM1 is N/A, since a structured process is required to ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set. ","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that all security-related positions are staffed by qualified individuals who have the necessary skill set. ","CC1.2 CC1.3 CC1.5 CC5.3","CC1.2-POF2 CC1.2-POF4 CC1.4-POF2 CC1.4-POF6 CC5.3-POF5",,,,,,APO01.08,"Principle 2 Principle 3 Principle 5 Principle 12",,,SO6,,,RQ-05-07,7.2,7.2,"7.2 7.2(a) 7.2(b) 7.2(c) 7.2(d)",,,,,,,,,,,,"GOVERN 4.1 MAP 1.2 MAP 3.4",,,,,PS-2,PS-2,PS-2,PS-2,PS-2,,PS-2,PS-2,PS-2,,,PS-2,PS-2,PS-2,,,,,,,,,3.7.6.d,,,,"PO.2 PO.2.1 PO.2.2 PO.2.3",,,,,6.2.2,,6.2.2,,,6.2.2,,6.2.2,6.2.2,,E.1.5,,"2.1.1 7.1.2",,,,"ASSET-5.E.MIL3 THREAT-3.E.MIL3 RISK-5.E.MIL3 ACCESS-4.E.MIL3 SITUATION-4.E.MIL3 RESPONSE-5.E.MIL3 THIRD-PARTIES-3.E.MIL3 WORKFORCE-4.E.MIL3",HRM:SG1.SP1,,,,,,,,,PS-2,,,,,,,"§ 11.10 § 11.10(i)",PS-2 ,PS-2 ,PS-2 ,PS-2 ,PS-2 ,PS-2,PS-2,PS-2,PS-2,PS-2,,,,,314.4(e)(2),,,,,,"120.15 120.16 120.39 120.40 120.41",,8-307,2.3,,,,,,,,,,,,,,,,,,,,,,,,,,PS-2,PS-2,PS-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-26,,1-9-2,,,,,,,,,,,B4.c,,,,,,,,,,,,,,,,,,,,,"4.5.2 4.5.2.1 4.5.2.2 4.5.2.3 4.5.2.4 4.5.2.5 4.5.2.6",,,5.1.14.C.01,,,,,"3.5.1 6.1.5",,,,,,,,"1.5 1.7",,,,,,,,,,,,x,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Personnel Screening ,HRS-04,Mechanisms exist to manage personnel security risk by screening individuals prior to authorizing access.,"- Criminal, education and employment background checks","E-HRS-17 E-HRS-21",Does the organization manage personnel security risk by screening individuals prior to authorizing access?,10,Identify,,X,X,There is no evidence of a capability to manage personnel security risk by screening individuals prior to authorizing access.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes evaluate personnel security risk by screening individuals prior to authorizing access.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage personnel security risk by screening individuals prior to authorizing access.",CC1.4,CC1.4-POF5,,,,,,,Principle 4,HRS-01,,SO5,,,,,,"7.2(b) 7.2(c)","7.1 7.1.1",6.1,"7.1 7.1.1",,"6.4 6.4.1 6.4.1.1",,,,,"OR-3.0 OR-3.1",,,,,,,PS-3,PS-3,PS-3,PS-3,PS-3,,PS-3,PS-3,PS-3,,,PS-3,PS-3,PS-3,,PS-3,PS-3,PS-3,,PS-3,PS-3,3.9.1,"3.9.1.a 3.9.1.b",3.9.1,"A.03.09.01.a A.03.09.01.b A.03.09.01.ODP[01]",3.9.1e,,,PR.AA-02,,12.7,"12.7 12.7.1",,,,,,,12.7.1,12.7.1,,E.1.3,5.3A,2.1.1,,,,"WORKFORCE-1.A.MIL1 WORKFORCE-1.F.MIL3",,,5.12.1,,PS.L2-3.9.1,"PS.L2-3.9.1 TBD - 3.9.1e",,PS.L2-3.9.1,PS.L2-3.9.1,PS-3,,,,,,,,PS-3 ,PS-3 ,PS-3 ,PS-3 ,PS-3 ,PS-3,PS-3,PS-3,PS-3,PS-3,,,,,,,,,,"2.C.3 2.C.3.1 PS-3","120.15 120.16 120.39 120.40 120.41",,"8-103 8-104 8-307",13.1,,,,,,PS-3 ,PS-3 ,PS-3 ,,,,,,,,,,,,,,,,,,PS-3,PS-3,PS-3,,,,,,,"Art 32.1 Art 32.2 Art 32.4",,,,,,,,,,,,HR-01,,,,19.2,,,,,,,,,,,,1-5-1-1,,,"1-9-3 1-9-3-2",1-7-1,,,"Sec 19 Sec 20",,,,,,,,,,,,,,,,,0434,,,,,,,,,,,7.1.1,,,,,,,,3.5.2,,,,,,5.13,,1.6,,,,,,,,,,,,x,,,x,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Roles With Special Protection Measures,HRS-04.1,"Mechanisms exist to ensure that individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria.",- Security clearances for classified information.,"E-HRS-17 E-HRS-21","Does the organization ensure that individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria?",9,Identify,,X,,"There is no evidence of a capability to ensure that individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria.","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes evaluate personnel security risk by screening individuals prior to authorizing access.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that individuals accessing a system that stores, transmits or processes information requiring special protection satisfy organization-defined personnel screening criteria.",CC1.4,,,,,,,DSS06.03,Principle 4,,,SO5,,,,,,,,"5.2 6.1",,,,,,,,"OR-3.0 OR-3.1",,"GOVERN 2.0 GOVERN 4.1","ID.IM-P2 CM.PO-P2",,,,"PS-3(1) PS-3(3)",,,,"PS-3(1) PS-3(3)",,,,,"PS-3(1) PS-3(3)",,,,,,,,,,,,,"3.9.1.a 3.9.1.b",,,3.9.2e,"PO.2 PO.2.1 PO.2.2 PO.2.3",,PR.AA-02,,,"12.7 12.7.1",,,,,,,12.7.1,12.7.1,,E.1.3,"5.1 5.3A",,,,,WORKFORCE-1.F.MIL3,,,,,,TBD - 3.9.2e,,,PS.L3-3.9.2e,,,,,,,,,PS-3(3) ,,PS-3(3) ,PS-3(3) ,,PS-3(3),,PS-3(3),PS-3(3),,,,,,314.4(e)(2),,,,,,"120.15 120.16 120.39 120.40 120.41","CIP-004-6 R3",,"2.4 13.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"HR-01 PSS-08",,,,19.2,,,,,,,,,,,,,TPC-26,,1-9-3-2,1-7-1,,,,,,,,,,B4.c,,,,,,,,,,"0446 0447",,,,Article 27,,,,,,,,,,,,,,,3.5.2,,,,,,,,1.6,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Formal Indoctrination,HRS-04.2,"Mechanisms exist to verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.",,E-HRS-18,"Does the organization verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system?",7,Identify,,X,,"There is no evidence of a capability to verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.","SP-CMM1 is N/A, since a structured process is required to verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify that individuals accessing a system processing, storing, or transmitting sensitive information are formally indoctrinated for all the relevant types of information to which they have access on the system.",CC1.4,,,,,,,,Principle 4,,,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)",,5.4,,,,,,,,OR-3.1,,,,,,,PS-3(2),,,,PS-3(2),,,,,PS-3(2),,,,,,,,,,,,,"3.15.3.a 3.15.3.c",,,,,,,,,,,,,,,,,,,E.1.3,,"2.1.2 2.1.3",,,,WORKFORCE-1.E.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"TPC-26 TPC-71",,"1-9-4 1-9-4-1",1-8,,,,,,,,,,B6.a,,,,,,,,,,0435,,,,,,,,,,,"4.5.2 4.5.2.8",,,9.1.7.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Citizenship Requirements,HRS-04.3,"Mechanisms exist to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/or contractual requirements for citizenship.",,,"Does the organization verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/or contractual requirements for citizenship?",5,Identify,,X,,"There is no evidence of a capability to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.","SP-CMM1 is N/A, since a structured process is required to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.","SP-CMM2 is N/A, since a well-defined process is required to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • HR ensures citizenship requirements are addressed per applicable statutory, regulatory and contractual requirements.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify that individuals accessing a system processing, storing, or transmitting sensitive information meet applicable statutory, regulatory and/ or contractual requirements for citizenship.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-3(4),,,,,PS-3(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,E.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-5-1-2,,,,,,,,,,,,,,,,,,,,,,,,"0420 0409 0411 0446 0447 1773",,,,,,,,,,,,,,"9.2.10.C.01 9.2.10.C.02 9.2.11.C.01 9.2.11.C.02 9.2.15.C.01 9.2.15.C.02 9.2.16.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Citizenship Identification,HRS-04.4,"Mechanisms exist to identify foreign nationals, including by their specific citizenship.",,,"Does the organization identify foreign nationals, including by their specific citizenship?",3,Identify,,X,X,"There is no evidence of a capability to identify foreign nationals, including by their specific citizenship.","SP-CMM1 is N/A, since a structured process is required to identify foreign nationals, including by their specific citizenship.","SP-CMM2 is N/A, since a well-defined process is required to identify foreign nationals, including by their specific citizenship.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify foreign nationals, including by their specific citizenship.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify foreign nationals, including by their specific citizenship.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,E.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0420,,,,,,,,,,,,,,"9.2.15.C.01 9.2.15.C.02 9.2.16.C.01 16.1.39.C.01 16.1.39.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Terms of Employment ,HRS-05,Mechanisms exist to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.,"- Acceptable Use Policy (AUP) - Rules of behavior","E-HRS-16 E-HRS-22",Does the organization require all employees and contractors to apply cybersecurity & data privacy principles in their daily work?,10,Identify,,X,,There is no evidence of a capability to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.,"SP-CMM1 is N/A, since a structured process is required to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with a GRC function, defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.",CC1.1,,,,,,,,Principle 1,"HRS-02 HRS-03",,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)","7.1.2 7.2 7.2.1 13.2.1","5.4 5.14 6.2","7.1.2 7.2 7.2.1 13.2.1",,"6.4.1.2 6.4.2.1",,,,,"OR-3.0 OR-3.1 PS-2.0",,,,,,,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,,,PL-4,PL-4,PL-4,,,,,,,,NFO - PL-4,"3.15.3.a 3.15.3.b 3.15.3.c",,,,,,GV.RR-02,,,"12.1.3 12.2 12.2.1",,12.1.3,12.1.3,12.1.3,"12.1.3 12.2.1",,"12.1.3 12.2.1","12.1.3 12.2.1",12.1.3,E.1.4.1,,"2.1.2 2.1.3 2.1.4",,,,WORKFORCE-1.E.MIL2,HRM:SG2.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.4,,,,,5.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"HR-02 HR-03 AM-05",,,,"5.1 19.3 19.4",,,,,,,,,,,,2-5,TPC-26,,"1-9-3-1 1-9-3-2 1-9-4-2",,,,,,8.2.2 [MP.PER.2],,,,,B6.a,,,,,,,,,,,,,,,,,,,,,"4.5.2 4.5.2.8 7.1.2 7.2.1 13.2.1",,,"3.5.4.C.01 3.5.4.C.02 3.5.4.C.03 5.5.7.C.01 8.1.12.C.01 9.3.7.C.01 9.3.7.C.02 9.3.7.C.03 9.3.7.C.04 9.3.8.C.01 9.3.8.C.02 9.3.8.C.03",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Rules of Behavior,HRS-05.1,"Mechanisms exist to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.","- Acceptable Use Policy (AUP) - Rules of behavior",E-HRS-22,"Does the organization define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior?",10,Identify,X,X,X,"There is no evidence of a capability to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior reflect the organization's corporate culture and risk threshold. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior.",CC1.1,CC1.1-POF2,,9.4,,9.4,9.4,,Principle 1,HRS-02,SAP-05,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)","7.2 7.2.1 8.1.3 13.2.1","5.4 5.10 5.14 6.2","7.2 7.2.1 8.1.3 13.2.1",,"6.4.2.1 6.5.1.3",,,,,OR-1.1,,"GOVERN 2.0 GOVERN 4.1",,,,,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,PL-4,,,PL-4,PL-4,PL-4,,PL-4,PL-4,,,PL-4,PL-4,NFO - PL-4,"3.15.3.a 3.15.3.b 3.15.3.c",,"A.03.15.03.a[01] A.03.15.03.a[02] A.03.15.03.b A.03.15.03.c[01] A.03.15.03.c[02]",,,,GV.RR-02,,"4.2 12.3 12.3.1 12.3.2 12.3.5 12.3.6 12.3.10 12.4","12.1.3 12.2 12.2.1",,12.1.3,12.1.3,12.1.3,"12.1.3 12.2.1",,"12.1.3 12.2.1","12.1.3 12.2.1",12.1.3,E.1.7,,"2.1.2 2.1.3 2.1.4 8.2.6 8.2.7 8.4.3",,,,WORKFORCE-1.E.MIL2,"AM:SG1.SP1 HRM:SG2.SP2",,,,,,AC.L1-b.1.iv,,,PL-4,,,,52.204-21(b)(1)(iv),,,"§ 11.10 § 11.10(d) § 11.10(j)","PL-4 PL-4(1) ",PL-4,"PL-4 PL-4(1) ","PL-4 PL-4(1) ",PL-4,"PL-4 PL-4(1)",PL-4,"PL-4 PL-4(1)","PL-4 PL-4(1)",PL-4,,,,,,164.310(b),10.S.A,,,PL-4,,,8-103,2.4,,,,,5.10,PL-4,PL-4,"PL-4 PL-4(1) ",,,,,,,,,,17.03(2)(b)(2),,,,,,,,PL-4,PL-4,PL-4,,,§ 2447(b)(2)(B),,,,,,,,,,,,,,,,HR-03,,,,"5.1 15.6 19.3 19.6",,,,,,,,,,,,2-5,"TPC-1 TPC-8 TPC-9",,"1-9-3-1 1-9-4-2 2-1-3 2-1-4 2-15-3-4",,,,,,,,,,,B6.a,,,,,,,,,,"1146 0824 0258",,,,,,,,,,Article 21,"4.5.2 4.5.2.8 7.2.1 8.1.3 13.2.1",,,"3.5.4.C.01 3.5.4.C.02 3.5.4.C.03 5.5.7.C.01 8.1.12.C.01 9.1.8.C.01 9.3.7.C.01 9.3.7.C.02 9.3.7.C.03 9.3.7.C.04 9.3.8.C.01 9.3.8.C.02 9.3.8.C.03 14.3.5.C.01 15.1.7.C.01 21.1.22.C.01 21.1.22.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17",,x,"R-AC-1 R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",R-AC-1,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Social Media & Social Networking Restrictions,HRS-05.2,"Mechanisms exist to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information. ","- Acceptable Use Policy (AUP) - Rules of behavior",E-HRS-22,"Does the organization define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information? ",9,Identify,X,X,,"There is no evidence of a capability to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information. ","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define rules of behavior that contain explicit restrictions on the use of social media and networking sites, posting information on commercial websites and sharing account information. ",,,,9.0,,,,,,HRS-02,,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)",8.1.3 ,"5.4 5.10 6.2",8.1.3 ,,,,,,,OR-1.1,,,,,,,PL-4(1),,PL-4(1),PL-4(1),PL-4(1),PL-4(1),PL-4(1),PL-4(1),PL-4(1),,,PL-4(1),PL-4(1),PL-4(1),,,,,,,,NFO - PL-4(1),"3.15.3.a 3.15.3.b 3.15.3.c",,,,,,GV.RR-02,,,,,,,,,,,,,L.21,,"2.1.2 2.1.3",,,,WORKFORCE-1.E.MIL2,,,,,,,AC.L1-b.1.iv,,,PL-4(1),,,,52.204-21(b)(1)(iv),,,,PL-4(1) ,,PL-4(1) ,PL-4(1) ,,PL-4(1),PL-4(1),PL-4(1),PL-4(1),PL-4(1),,,,,,,,,,PL-4(1),120.11,,,,,,,,,,,PL-4(1) ,,,,,,,,,,,,,,,,,,,,PL-4(1),,,,,,,,,,,,,,,,,,,,,,,"4.13 19.6 19.7",,,,,,,,,,,,,,,1-9-4-2,,,,,,,,,,,B6.a,,,,,,,,,,"0820 0821",,,,,,,,,,,"4.5.2 4.5.2.8 8.1.3",,,"9.3.7.C.01 9.3.7.C.02 9.3.7.C.03 9.3.7.C.04 9.3.8.C.01 9.3.8.C.02 9.3.8.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Use of Communications Technology,HRS-05.3,"Mechanisms exist to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously. ","- Acceptable Use Policy (AUP) - Rules of behavior",E-HRS-22,"Does the organization establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously? ",10,Identify,,X,X,"There is no evidence of a capability to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously. ","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior affecting the use of communications technologies reflects the organization's corporate culture and risk threshold. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish usage restrictions and implementation guidance for communications technologies based on the potential to cause damage to systems, if used maliciously. ",,,,9.4,,9.4,9.4,,,HRS-02,SAP-05,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)",8.1.3 ,"5.4 5.10 6.2",8.1.3 ,,,,,,,OR-1.1,,,,,,,SC-19,,SC-19,SC-19,PL-4,PL-4,PL-4,PL-4,PL-4,,,PL-4,PL-4,PL-4,,PL-4,PL-4,,,PL-4,PL-4,,"3.15.3.a 3.15.3.b 3.15.3.c",,,,,,GV.RR-02,,,"12.2 12.2.1",,,,,12.2.1,,12.2.1,12.2.1,,D.2,,"2.1.2 2.1.3 2.1.4",,,,WORKFORCE-1.E.MIL2,,,"5.10.1.4 5.10.2",,,,,,,"SC-19 SC-ACA-1 SC-ACA-2",,,,,,,,SC-19 ,,SC-19 ,SC-19 ,,,,,,,,,,,,,,,,PL-4,,,8-700,,,,,,,,,SC-19 ,,,,,,,,,,,,,,,,,,PL-4,,SC-19,,,,,,,,,,,,,,,,,,,,,,,"5.4 9.5 15.6 19.6",,,,,,,,,,,,2-5,"TPC-8 TPC-9",,"1-9-4-2 2-1-3 2-6-4 2-15-3-4",,,,,,,,,,,B6.a,,,,,,,,,,"0824 1078 0229 0230 0233 0235 0236 0931 1562 0588 1092 0241 1075 1196 1200 1198 1199",,,,,,,,,,,"4.5.2 4.5.2.8 8.1.3",,,"9.3.4.C.01 9.3.5.C.01 9.3.5.C.02 9.3.9.C.01 9.3.10.C.01 15.1.7.C.01 21.1.22.C.01 21.1.22.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Use of Critical Technologies ,HRS-05.4,Mechanisms exist to govern usage policies for critical technologies. ,,E-HRS-22,Does the organization govern usage policies for critical technologies? ,9,Identify,,X,X,There is no evidence of a capability to govern usage policies for critical technologies. ,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Rules of behavior affecting the use of critical technologies reflects the organization's corporate culture and risk threshold. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern usage policies for critical technologies. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern usage policies for critical technologies. ",,,,,,,,,,HRS-02,SAP-05,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)",8.1.3 ,,8.1.3 ,,,,,,,OR-1.1,,"GOVERN 2.0 GOVERN 4.1",ID.BE-P3,,,,,,,,,,,,,,,,,,,,,,,,,,"3.15.3.a 3.15.3.b 3.15.3.c",,,,,,GV.RR-02,,"12.3 12.3.1 12.3.2 12.3.3 12.3.4 12.3.5 12.3.6 12.3.7 12.3.8 12.3.9 12.3.10","12.2 12.2.1",,,,,12.2.1,,12.2.1,12.2.1,,D.2,,"2.1.2 2.1.3 2.1.4",,,,WORKFORCE-1.E.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"15.6 19.6",,,,,,,,,,,,,,,"1-9-4-2 2-1-3",,,,,,,,,,,B6.a,,,,,,,,,,,,,,,,,,,,,"4.5.2 4.5.2.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Use of Mobile Devices,HRS-05.5,Mechanisms exist to manage business risks associated with permitting mobile device access to organizational resources.,"- Acceptable Use Policy (AUP) - Rules of behavior - BYOD policy",E-HRS-22,Does the organization manage business risks associated with permitting mobile device access to organizational resources?,9,Identify,,X,X,There is no evidence of a capability to manage business risks associated with permitting mobile device access to organizational resources.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to manage business risks associated with permitting mobile device access to organizational resources.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage business risks associated with permitting mobile device access to organizational resources.",,,,,,,,,,HRS-02,SAP-05,,,,,,,"7.3 7.3(a) 7.3(b) 7.3(c)",8.1.3 ,6.2,8.1.3 ,,,,,,,OR-1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.15.3.a 3.15.3.b 3.15.3.c",,,,,,GV.RR-02,,,,,,,,,,,,,M.1.15,,"2.1.2 2.1.3 2.1.4 8.2.6 8.2.7",,,,WORKFORCE-1.E.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AM-05,,,,"13.2 13.3 13.7 13.10 15.6 19.6",,,,,,,,,,,,,,,1-9-4-2,,,,,,,,,,,B6.a,,,,,,,,,,"0229 0230 1082 1196 1200 1198 1199 1366 0874 0705 1083 0240 0866 1145 0871 0870 1084 0701 0702",,,,,,,,,,,"4.5.2 4.5.2.8 8.1.3",,,"8.1.12.C.01 11.4.9.C.01 11.4.10.C.01 11.4.10.C.02 11.4.11.C.01 11.4.12.C.01 11.4.12.C.02 11.5.13.C.01 11.5.14.C.01 11.5.14.C.02 11.5.15.C.01 11.5.15.C.02 11.5.16.C.01 11.5.16.C.02 11.5.16.C.03 21.1.11.C.01 21.1.11.C.02 21.1.22.C.01 21.1.22.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Security-Minded Dress Code,HRS-05.6,"Mechanisms exist to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.",,,"Does the organization prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets?",1,Protect,,X,,"There is no evidence of a capability to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.","SP-CMM1 is N/A, since a structured process is required to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.","SP-CMM2 is N/A, since a well-defined process is required to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • HR ensures a dress code is appropriate for sensitive/regulated data environments. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the use of oversized clothing (e.g., baggy pants, oversized hooded sweatshirts, etc.) to prevent the unauthorized exfiltration of data and technology assets.",,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-2.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,,,,,,,,,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Policy Familiarization & Acknowledgement,HRS-05.7,Mechanisms exist to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.,,"E-HRS-18 E-SAT-02 E-SAT-04",Does the organization ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement?,8,Identify,,X,,There is no evidence of a capability to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.,"SP-CMM1 is N/A, since a structured process is required to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • HR maintains evidence of policy acknowledgement.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure personnel receive recurring familiarization with the organization’s cybersecurity & data privacy policies and provide acknowledgement.",,,,,,,,,,,,,,,,,,"7.3 7.3(c)",,,,,,,,,,OR-3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.15.3.b,,,,,,,,,12.6.3,,,,,,,12.6.3,12.6.3,,P.3.1.1,,,,,,WORKFORCE-1.E.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"TPC-26 TPC-71",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.5.2 4.5.2.6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Access Agreements ,HRS-06,Mechanisms exist to require internal and third-party users to sign appropriate access agreements prior to being granted access. ,,E-HRS-16,Does the organization require internal and third-party users to sign appropriate access agreements prior to being granted access? ,10,Identify,,X,X,There is no evidence of a capability to require internal and third-party users to sign appropriate access agreements prior to being granted access. ,"SP-CMM1 is N/A, since a structured process is required to require internal and third-party users to sign appropriate access agreements prior to being granted access. ","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require internal and third-party users to sign appropriate access agreements prior to being granted access. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require internal and third-party users to sign appropriate access agreements prior to being granted access. ",CC1.5,,,,,,,,Principle 5,HRS-07,,,,,,,,,13.2.2 ,"5.10 5.14",13.2.2 ,,6.10.2.2,,,,,"OR-3.1 PS-1.1",,,,,,,"PS-6 PS-6(2)",PS-6,PS-6,PS-6,"PS-6 PS-6(2)",PS-6,PS-6,PS-6,PS-6,PS-6(2),,PS-6,PS-6,PS-6,,PS-6,PS-6,PS-6,,PS-6,PS-6,NFO - PS-6,3.15.3.b,,A.03.15.03.b,,,,,,,,,,,,,,,,,E.1.4.1,,,,,,WORKFORCE-1.E.MIL2,,,,,,,,,,PS-6,,,,,,,,PS-6 ,PS-6 ,PS-6 ,PS-6 ,PS-6 ,PS-6,PS-6,PS-6,PS-6,PS-6,,,,,,,,,,PS-6,,,"8-103 8-104 8-105",2.4,,,,,,PS-6 ,PS-6 ,PS-6 ,,,,,,,,,,,,,,,,,,PS-6,PS-6,PS-6,,,,,,,,,,,,,,,,,,,HR-02,,,,19.6,,,,,,,,,,,,,"TPC-9 TPC-71",,1-9-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 21,13.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Confidentiality Agreements,HRS-06.1,"Mechanisms exist to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.",- Non-Disclosure Agreements (NDAs),E-HRS-20,"Does the organization require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties?",10,Identify,,X,X,"There is no evidence of a capability to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.","SP-CMM1 is N/A, since a structured process is required to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, or both employees and third-parties.",CC1.5,,,,,,,,Principle 5,"HRS-07 HRS-10",,,,,,,,,"13.2.2 13.2.4","5.14 6.6","13.2.2 13.2.4",,,,,,,"OR-3.1 PS-1.1",,,,,,,"PS-6 PS-6(2)",PS-6,PS-6,PS-6,"PS-6 PS-6(2)",PS-6,PS-6,PS-6,PS-6,PS-6(2),,PS-6,PS-6,PS-6,,PS-6,PS-6,PS-6,,PS-6,PS-6,,3.15.3.b,,,,,,,,,,,,,,,,,,,E.1.4.3,,"6.1.2 8.2.1 8.2.6 8.2.7",,,,,,,,,,,,,,PS-6,,,,,,,,PS-6 ,PS-6 ,PS-6 ,PS-6 ,PS-6 ,PS-6,PS-6,PS-6,PS-6,PS-6,,,,,,,,,,PS-6,,,"8-103 8-104 8-105",13.2,,,,,,PS-6 ,PS-6 ,PS-6 ,,,,,,6-1-1305(3)(a),,,,,,,,,,,,PS-6,PS-6,PS-6,,,,,,,,,,,,,,,,,,,"HR-06 IDM-08 PSS-07",,,,19.4,,,,,,,,,,,,,"TPC-9 TPC-71",,1-9-3-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 21,"13.2.2 13.2.4",,,9.1.8.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Post-Employment Obligations,HRS-06.2,"Mechanisms exist to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.",,E-HRS-19,"Does the organization notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information?",5,Protect,,X,,"There is no evidence of a capability to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to notify terminated individuals of applicable, legally-binding post-employment requirements for the protection of sensitive organizational information.",,,,,,,,,,,,,,,,,,,,,,,,,,,,OR-3.1,,,,,,,PS-6(3),,,,PS-6(3),,,,,PS-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,E.2.1,,,,,,,HRM:SG4.SP3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-6(3),,,,13.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Personnel Sanctions,HRS-07,"Mechanisms exist to sanction personnel failing to comply with established security policies, standards and procedures. ",,,"Does the organization sanction personnel failing to comply with established security policies, standards and procedures? ",9,Respond,X,X,,"There is no evidence of a capability to sanction personnel failing to comply with established security policies, standards and procedures. ","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to sanction personnel failing to comply with established security policies, standards and procedures. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to sanction personnel failing to comply with established security policies, standards and procedures. ",CC1.5,"CC1.5-POF5 CC7.4-POF13",,,,,,,Principle 5,,,SO8,,,,,,,"7.2.3 7.3",6.4,"7.2.3 7.3",,6.4.2.3,,,,,OR-3.1,,,,,,,PS-8,PS-8,PS-8,PS-8,PS-8,,PS-8,PS-8,PS-8,,,PS-8,PS-8,PS-8,,,,,,,,NFO - PS-8,,"3.9.2[a] 3.9.2[b] 3.9.2[c]",,3.9.2e,,,,,,,,,,,,,,,,E.1.7,,,,,,"WORKFORCE-1.B.MIL1 WORKFORCE-1.C.MIL2 WORKFORCE-1.G.MIL3",HRM:SG3.SP4,,"4.2.5.2 5.12.4",,,TBD - 3.9.2e,,,PS.L3-3.9.2e,PS-8,,,,,,,,PS-8 ,PS-8 ,PS-8 ,PS-8 ,PS-8 ,PS-8,PS-8,PS-8,PS-8,PS-8,,,,,,"164.308(a)(1)(ii)(C) 164.530(e) 164.530(e)(1) 164.530(e)(2)",,,,"2.C.4 2.C.4.2 PS-8",,,1-304,13.3,,,,,5.3,PS-8 ,PS-8 ,PS-8 ,,,,,,,,,,17.03(2)(d),,,,,,,,PS-8,PS-8,PS-8,,,§ 2447(b)(4),,,,,,,,,,,,,,,,HR-04,,,,19.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.5.2 4.5.2.8 7.2.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,MA 201 CMR 17,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Workplace Investigations,HRS-07.1,Mechanisms exist to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated. ,,,Does the organization conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated? ,8,Respond,X,X,,There is no evidence of a capability to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated. ,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct employee misconduct investigations when there is reasonable assurance that a policy has been violated. ","CC1.1 CC1.5","CC2.2-POF3 CC2.3-POF4",,,,,,,"Principle 1 Principle 5",,,,,,,,,,,6.4,,,,,,,,"OR-3.1 PS-2.0",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.9.2e,,,,,,,,,,,,,,,,E.3,,,,,,,HRM:SG4.SP3,,,,,TBD - 3.9.2e,,,PS.L3-3.9.2e,,,,FACTA,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Personnel Transfer,HRS-08,"Mechanisms exist to adjust logical and physical access authorizations to systems and facilities upon personnel reassignment or transfer, in a timely manner.",,,"Does the organization adjust logical and physical access authorizations to systems and facilities upon personnel reassignment or transfer, in a timely manner?",9,Identify,,X,,"There is no evidence of a capability to adjust logical and physical access authorizations to systems and facilities up on personnel reassignment or transfer, in a timely manner.","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to adjust logical and physical access authorizations to systems and facilities up on personnel reassignment or transfer, in a timely manner.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to adjust logical and physical access authorizations to systems and facilities up on personnel reassignment or transfer, in a timely manner.",CC1.5,,,,,,,,Principle 5,"HRS-06 IAM-07",,,,,,,,,7.3.1 ,6.5,7.3.1,,,,,,,OR-3.1,,,,,,,PS-5,PS-5,PS-5,PS-5,PS-5,,PS-5,PS-5,PS-5,,,PS-5,PS-5,PS-5,,,,,,,,3.9.2,"3.9.2.b.1 3.9.2.b.2 3.9.2.b.3","3.9.2[a] 3.9.2[b] 3.9.2[c]","A.03.09.02.b.01 A.03.09.02.b.02 A.03.09.02.b.03 A.03.09.02.ODP[02] A.03.09.02.ODP[03]",,,,,,,,,,,,,,,,,E.2,,,,,,"WORKFORCE-1.B.MIL1 WORKFORCE-1.D.MIL2","HRM:SG4.SP1 HRM:SG4.SP2",1.7,5.12.3,,PS.L2-3.9.2,PS.L2-3.9.2,,PS.L2-3.9.2,PS.L2-3.9.2,PS-5,,,,,,,,PS-5 ,PS-5 ,PS-5 ,PS-5 ,PS-5 ,PS-5,PS-5,PS-5,PS-5,PS-5,,,,,,,3.S.A,,,"2.C.4.1 PS-5",,,"8-303 5-309",13.2,,,,,,PS-5 ,PS-5 ,PS-5 ,,,,,,,,,,,,,,,,,,PS-5,PS-5,PS-5,,,,,,,,,,,,,,,,,,,"HR-05 IDM-04",,,,19.9,,,,,,,,,,,,,TPC-18,,,,,,,,,,,,,,,,,,,,,,,0430,,,,,,,,,,,7.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Personnel Termination ,HRS-09,Mechanisms exist to govern the termination of individual employment.,,E-HRS-19,Does the organization govern the termination of individual employment?,9,Protect,,X,,There is no evidence of a capability to govern the termination of individual employment.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes and technologies: o Govern the termination process of individual employment to ensure the confidentiality, integrity, availability and safety of the organizations assets and data are protected. o Adjust logical and physical access authorizations to systems and facilities up on personnel reassignment, transfer or termination, in a timely manner. o Expedite the process of removing a high risk individual’s access to systems and applications up on termination, as determined by management. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern the termination of individual employment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern the termination of individual employment.",CC1.5,,,,,,,,Principle 5,HRS-06,,,,,,,,,7.3.1 ,6.5,7.3.1,,"6.4.3 6.4.3.1",,,,,OR-3.1,,,,,,,PS-4,PS-4,PS-4,PS-4,PS-4,,PS-4,PS-4,PS-4,,,PS-4,PS-4,PS-4,,,,,,,,3.9.2,"3.1.1.f.3 3.9.2.a.1 3.9.2.a.2 3.9.2.a.3","3.9.2[a] 3.9.2[b] 3.9.2[c]","A.03.09.02.a.01 A.03.09.02.a.02 A.03.09.02.a.03 A.03.09.02.ODP[01]",,,,,,,8.2.5,8.2.5,8.2.5,,,8.2.5,8.2.5,8.2.5,8.2.5,,E.2.1,,,,,,"WORKFORCE-1.B.MIL1 WORKFORCE-1.D.MIL2","HRM:SG4.SP1 HRM:SG4.SP2",1.7,5.12.3,,PS.L2-3.9.2,PS.L2-3.9.2,,PS.L2-3.9.2,PS.L2-3.9.2,PS-4,,,,,,,,PS-4 ,PS-4 ,PS-4 ,PS-4 ,PS-4 ,PS-4,PS-4,PS-4,PS-4,PS-4,,,,,,,3.S.A,,,"2.C.4.4 PS-4",,,"8-303 5-309",13.2,,,,,,PS-4 ,PS-4 ,PS-4 ,,,,,,,,,,17.03(2)(e),,,,,,,,PS-4,PS-4,PS-4,,,,,,,,,,,,,,,,,,,HR-05,,,,"19.9 19.10",,,,,,,,,,,,,"TPC-6 TPC-18",,,,,,,,,,,,,,,,,,,,,,,0430,,,,,,,,,,,7.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,MA 201 CMR 17,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Asset Collection,HRS-09.1,Mechanisms exist to retrieve organization-owned assets upon termination of an individual's employment.,,E-HRS-19,Does the organization retrieve organization-owned assets upon termination of an individual's employment?,9,Protect,,X,,There is no evidence of a capability to retrieve organization-owned assets up on termination of an individual's employment.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to retrieve organization-owned assets up on termination of an individual's employment.",CC1.5,,,,,,,,Principle 5,HRS-05,,,,,,,,,,,,,,,,,,OR-3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,E.2.2,,,,,,,"HRM:SG4.SP2 HRM:SG4.SP3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,19.10,,,,,,,,,,,,,TPC-18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,High-Risk Terminations,HRS-09.2,"Mechanisms exist to expedite the process of removing ""high risk"" individual’s access to systems and applications upon termination, as determined by management.",,E-HRS-19,"Does the organization expedite the process of removing ""high risk"" individual’s access to systems and applications upon termination, as determined by management?",9,Protect,X,X,,"There is no evidence of a capability to expedite the process of removing ""high risk"" individual’s access to systems and applications up on termination, as determined by management.","SP-CMM1 is N/A, since a structured process is required to expedite the process of removing ""high risk"" individual’s access to systems and applications up on termination, as determined by management.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes and technologies: o Adjust logical and physical access authorizations to systems and facilities up on personnel reassignment, transfer or termination, in a timely manner. o Expedite the process of removing a high risk individual’s access to systems and applications up on termination, as determined by management. • Administrative processes exist to retrieve organization-owned assets up on termination of an individual's employment.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to expedite the process of removing ""high risk"" individual’s access to systems and applications up on termination, as determined by management.",CC1.5,,,,,,,,Principle 5,"HRS-06 IAM-07",,,,,,,,,,,,,,,,,,OR-3.1,,,,,,,,,,,AC-2(13),,,AC-2(13),AC-2(13),,,,AC-2(13),AC-2(13),,,,,,,,,"3.1.1.f.3 3.9.2.a.1 3.9.2.a.2 3.9.2.a.3",,,3.9.2e,,,,,,8.2.5,8.2.5,8.2.5,,,8.2.5,8.2.5,8.2.5,8.2.5,,F.1.2.8.1,,,,,,,HRM:SG4.SP3,1.7,,,,TBD - 3.9.2e,,,PS.L3-3.9.2e,,,,,,,,,,,,,,AC-2(13),,AC-2(13),AC-2(13),,,,,,,,3.S.A,,,AC-2(13),,,,13.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,19.10,,,,,,,,,,,,,"TPC-6 TPC-18",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Post-Employment Requirements ,HRS-09.3,"Mechanisms exist to govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.",- Non-Disclosure Agreements (NDAs),E-HRS-19,"Does the organization govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information?",8,Protect,,X,,"There is no evidence of a capability to govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.","SP-CMM1 is N/A, since a structured process is required to govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes govern third-party personnel by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern former employee behavior by notifying terminated individuals of applicable, legally binding post-employment requirements for the protection of organizational information.",CC1.5,,,,,,,,Principle 5,,,,,,,,,,,6.5,,,,,,,,OR-3.1,,,,,,,PS-4(1),,,,PS-4(1),,,,,PS-4(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,E.2.1,,,,,,,HRM:SG4.SP3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,13.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,19.10,,,,,,,,,,,,,TPC-18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Automated Employment Status Notifications,HRS-09.4,Automated mechanisms exist to notify Identity and Access Management (IAM) personnel or roles upon termination of an individual employment or contract.,,,Does the organization use automated mechanisms to notify Identity and Access Management (IAM) personnel or roles upon termination of an individual employment or contract?,5,Protect,,X,X,There is no evidence of a capability to notify Identity and Access Management (IAM) personnel or roles up on termination of an individual employment or contract.,"SP-CMM1 is N/A, since a structured process is required to notify Identity and Access Management (IAM) personnel or roles up on termination of an individual employment or contract.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Human Resources Security (HRS) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-4(2),,,PS-4(2),PS-4(2),,,,PS-4(2),,,,,PS-4(2),,,,,,,,,"3.1.1.g 3.1.1.g.1 3.1.1.g.2 3.1.1.g.3",,,,,,,,,,,,,,,,,,,E.2,,,,,,,,,,,,,,,,,,,,,,,,PS-4(2),,,PS-4(2),,PS-4(2),,,PS-4(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Human Resources Security,Third-Party Personnel Security,HRS-10,Mechanisms exist to govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.,- Independent background check service,"E-HRS-16 E-HRS-18 E-HRS-22",Does the organization govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities?,10,Identify,,X,,There is no evidence of a capability to govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.,"SP-CMM1 is N/A, since a structured process is required to govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern third-party personnel by reviewing and monitoring third-party cybersecurity & data privacy roles and responsibilities.",CC5.3,,,,,,,,Principle 12,,,,,,,,,,,,,,,,,,,OR-3.1,,,,,,,PS-7,PS-7,PS-7,PS-7,PS-7,,PS-7,PS-7,PS-7,,,PS-7,PS-7,PS-7,,PS-7,PS-7,,,PS-7,,NFO - PS-7,,,,,,,,,,,,,,,,,,,,"B.1.1.2.2 ",5.3A,,,,,,"AM:SG1.SP1 OPD:SG1.SP6",,,,,,,,,PS-7,,,,,,,,PS-7 ,PS-7 ,PS-7 ,PS-7 ,PS-7 ,PS-7,PS-7,PS-7,PS-7,PS-7,,,,,,,,,,"1.9.3 PS-7",,,8-304,13.1,,,,,,PS-7 ,PS-7 ,PS-7 ,,,,,,,,,,,,,,,,,,PS-7,PS-7,PS-7,,,,,,,,,,,,,,,,,,,,,,,19.5,,,,,,,,,,,,,,,1-9-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Separation of Duties (SoD),HRS-11,Mechanisms exist to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.,,E-HRS-25,Does the organization implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion?,7,Protect,,X,X,There is no evidence of a capability to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.,"SP-CMM1 is N/A, since a structured process is required to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and maintain Separation of Duties (SoD) to prevent potential inappropriate activity without collusion.",CC5.1,CC5.1-POF6,,,,,,,Principle 10,IAM-04,,,,,,,,,,"5.3 5.18",6.1.2,,,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.006, T1047, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.008, T1070, T1070.001, T1070.002, T1070.003, T1072, T1078, T1078.001, T1078.002, T1078.003, T1078.004, T1087.004, T1098, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1134, T1134.001, T1134.002, T1134.003, T1134.005, T1136, T1136.001, T1136.002, T1136.003, T1185, T1190, T1197, T1210, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1505.003, T1525, T1528, T1530, T1537, T1538, T1542, T1542.001, T1542.003, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.004, T1547.006, T1547.009, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.006, T1552.007, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1569, T1569.001, T1569.002, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1606, T1611, T1619",TS-1.0,,,PR.AC-P4,,,,AC-5,,AC-5,AC-5,AC-5,,,AC-5,AC-5,,,,AC-5,AC-5,,AC-5,,AC-5,,AC-5,AC-5,3.1.4,"3.1.4.a 3.1.4.b","3.1.4[a] 3.1.4[b] 3.1.4[c]","A.03.01.04.a A.03.01.04.b",,,,,,6.4.2,6.5.4,,,,,,,6.5.4,6.5.4,,H.2.2,5.1,,,,,ACCESS-2.E.MIL2,"AM:SG1.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3",,,,AC.L2-3.1.4,AC.L2-3.1.4,,AC.L2-3.1.4,AC.L2-3.1.4,AC-5,,,,,,,,AC-5 ,,AC-5 ,AC-5 ,,AC-5,,AC-5,AC-5,,,,,,,,,,3.L.C,AC-5,,,8-611,,,,,,5.7,,,,III.C.3,,,,,,,,,,,,,,,,,AC-5,,AC-5,,,,,,,,,,,,,,,,,,,"OIS-04 IDM-01",,,,"4.11 10.4",,,,,,,,,,,,,,,,,,,,,7.2.3 [OP.ACC.3],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.1.1,,,,,,,,,2.5.2,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Incompatible Roles ,HRS-12,"Mechanisms exist to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.",,E-HRS-25,"Does the organization avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment?",8,Protect,,X,,"There is no evidence of a capability to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.","Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment. • Administrative processes implement and maintain Separation of Duties (SoD) to prevent potential malevolent activity without collusion.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to avoid incompatible development-specific roles through limiting and reviewing developer privileges to change hardware, software and firmware components within a production/operational environment.",,,,,,,,DSS06.03,,CEK-02,,,,,,,,,6.1.2,5.3,6.1.2,,6.3.1.2,,,,,,,,ID.IM-P2,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.4.a,,"A.03.01.04.a A.03.01.04.b",,"PO.2 PO.2.1",,,,,,,,,,,,,,,I.1.13.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-08,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 27,,,,,,,6.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Two-Person Rule,HRS-12.1,Mechanisms exist to enforce a two-person rule for implementing changes to sensitive systems.,,,Does the organization enforce a two-person rule for implementing changes to sensitive systems?,7,Protect,,X,,There is no evidence of a capability to enforce a two-pers on rule for implementing changes to sensitive systems.,"SP-CMM1 is N/A, since a structured process is required to enforce a two-pers on rule for implementing changes to sensitive systems.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • Administrative processes and technologies enforce a two-pers on rule for implementing changes to sensitive/regulated systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce a two-pers on rule for implementing changes to sensitive systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce a two-pers on rule for implementing changes to sensitive systems.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(2),,,,AC-3(2),,,,,AC-3(2),,,,,,,,,,,,,,,,3.1.1e,,,,,,,,,,,,,,,,G.2.13,,,,,,,,,,,,TBD - 3.1.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Identify Critical Skills & Gaps,HRS-13,Mechanisms exist to evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.,,"E-HRS-23 E-HRS-24",Does the organization evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist?,5,Protect,X,X,,There is no evidence of a capability to evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel evaluates the business-critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with cybersecurity personnel evaluates the business-critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist. ","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, evaluates the business-critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate the critical cybersecurity & data privacy skills needed to support the organization’s mission and identify gaps that exist.",,CC1.4-POF4,,,,,,"APO01.08 APO07.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.6.3,,,,,,WORKFORCE-3.F.MIL3,HRM:SG1.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Remediate Identified Skills Deficiencies,HRS-13.1,Mechanisms exist to remediate critical skills deficiencies necessary to support the organization’s mission and business functions.,,E-HRS-24,Does the organization remediate critical skills deficiencies necessary to support the organization’s mission and business functions?,5,Protect,X,X,,There is no evidence of a capability to remediate critical skills deficiencies necessary to support the organization’s mission and business functions.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel remediates business-critical skills deficiencies necessary to support the organization’s mission and business functions.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, remediates business-critical skills deficiencies necessary to support the organization’s mission and business functions.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to remediate critical skills deficiencies necessary to support the organization’s mission and business functions.",,,,,,,,"APO01.08 APO07.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.6.3,,,,,,WORKFORCE-3.F.MIL3,HRM:SG1.SP3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Identify Vital Cybersecurity & Data Privacy Staff,HRS-13.2,Mechanisms exist to identify vital cybersecurity & data privacy staff.,,E-HRS-26,Does the organization identify vital cybersecurity & data privacy staff?,5,Protect,X,X,,There is no evidence of a capability to identify vital cybersecurity & data privacy staff.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel identifies vital cybersecurity & data privacy staff.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel identifies vital cybersecurity & data privacy staff.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, identifies vital cybersecurity & data privacy staff.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify vital cybersecurity & data privacy staff.",,,,,,,,APO07.02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.1.1,,,,,,WORKFORCE-3.F.MIL3,PM:SG1.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.5 [MP.PER.5],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Establish Redundancy for Vital Cybersecurity & Data Privacy Staff,HRS-13.3,Mechanisms exist to establish redundancy for vital cybersecurity & data privacy staff.,,,Does the organization establish redundancy for vital cybersecurity & data privacy staff?,5,Protect,X,X,,There is no evidence of a capability to establish redundancy for vital cybersecurity & data privacy staff.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel remediates business-critical skills deficiencies necessary to support the organization’s mission and business functions.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel establishes redundancy for vital cybersecurity & data privacy staff.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, establishes redundancy for vital cybersecurity & data privacy staff.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish redundancy for vital cybersecurity & data privacy staff.",,,,,,,,APO07.03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A.2,,,,,,WORKFORCE-3.F.MIL3,PM:SG3.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.5 [MP.PER.5],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Human Resources Security,Perform Succession Planning,HRS-13.4,Mechanisms exist to perform succession planning for vital cybersecurity & data privacy roles.,,,Does the organization perform succession planning for vital cybersecurity & data privacy roles?,5,Protect,X,X,,There is no evidence of a capability to perform succession planning for vital cybersecurity & data privacy roles.,"Human Resources Security (HRS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized, with the responsibility for training users and enforcing policies being assigned to the user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • The Human Resources (HR) department provides guidance on HR practices for hiring, retaining and terminating employees, contractors and other personnel that work on behalf of the organization. • Terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior are at the discretion of users’ management. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • HR, in conjunction with IT personnel performs succession planning for vital cybersecurity & data privacy roles.","Human Resources Security (HRS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Personnel management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for personnel management. • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Defines terms of employment, including acceptable and unacceptable rules of behavior for the use of technologies, including consequences for unacceptable behavior. • The responsibility for training users and enforcing policies being assigned to user’s immediate supervisor(s)/manager(s), including the definition and enforcement of the user’s specific role(s) and responsibilities. • Personnel managers ensure personnel are routinely made aware of the organization’s cybersecurity / data privacy policies and provide acknowledgement. • Administrative processes require all employees and contractors to apply cybersecurity & data privacy principles in their daily work. • The HR department, in conjunction with IT personnel performs succession planning for vital cybersecurity & data privacy roles.","Human Resources Security (HRS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Human Resources (HR) department: o Ensures industry-recognized HR practices are implemented for hiring, managing, training, investigating and terminating employees, contractors and other personnel that work on behalf of the organization. o Ensures that every user accessing a system that processes, stores, or transmits sensitive/regulated data is cleared and regularly trained in proper data handling practices. o Identifies and implements industry-recognized HR practices related to cybersecurity & data privacy training and awareness to help ensure secure practices are implemented in personnel operations to help manage risk to both technology assets and data. o Manages personnel security risk by assigning a risk designation to all positions and establishing screening criteria for individuals filling those positions. • Administrative processes require Non-Disclosure Agreements (NDAs) or similar confidentiality agreements that reflect the needs to protect data and operational details, for both employees and third-parties. • The HR department, in conjunction with cybersecurity personnel, performs succession planning for vital cybersecurity & data privacy roles.","Human Resources Security (HRS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform succession planning for vital cybersecurity & data privacy roles.",,CC1.4-POF4,,,,,,APO07.03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,K.1,,,,,,WORKFORCE-3.F.MIL3,PM:SG3.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.5 [MP.PER.5],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-2",,R-AC-2,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identity & Access Management (IAM) ,IAC-01,Mechanisms exist to facilitate the implementation of identification and access management controls.,,,Does the organization facilitate the implementation of identification and access management controls?,10,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of identification and access management controls.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for logical access control practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for logical access control. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to logical access control. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including logical access control. • An IT Asset Management (ITAM) function, or similar function: o Categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). o Uses a Configuration Management Database (CMDB), or similar tool, as the authoritative source of IT assets configured to perform integrity checking and alert on unauthorized configuration changes. • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of identification and access management controls.",CC6.1,"CC6.1-POF2 CC6.1-POF6 CC6.1-POF7",,"5.0 5.6 6.0 6.7",,"5.6 6.7","5.6 6.7","DSS05.04 DSS06.03",,"IAM-01 IAM-02 IAM-16","CLS-09 IAM-16 IAM-17",SO11,8.2.2,"FR 1 (5.1) CR 1.3 (5.5.1)",,,,,"9.1 9.1.1","5.15 5.18","9.1 9.1.1 9.1.2",A.10.10,"6.6 6.6.1 6.6.1.1",,,,,"OR-3.1 TS-1.6 TS-1.7",Sec 4(D)(2)(a),,PR.AC-P1,,,,"AC-1 IA-1","AC-1 IA-1","AC-1 IA-1","AC-1 IA-1","AC-1 IA-1",AC-1,"AC-1 IA-1","AC-1 IA-1","AC-1 IA-1",,,"AC-1 IA-1","AC-1 IA-1","AC-1 IA-1",,"AC-1 IA-1","AC-1 IA-1",AC-1,"AC-1 IA-1","AC-1 IA-1","AC-1 IA-1","NFO - AC-1 NFO- IA-1","3.1.18.b 3.5.1.a 3.5.1.b 3.5.5.a",,,,,PR.AC-1,PR.AA,"A01:2021 A07:2021",8.1.4,"7.1 7.2 7.2.1 7.3 7.3.1 7.3.2 7.3.3 8.1 8.2 8.3.3 8.3.8 8.5.1 8.6.1 A3.4",,"8.3.3 8.3.8 8.5.1 8.6.1",,,"8.3.3 8.3.8 8.5.1 8.6.1",,"7.2.1 7.3.1 7.3.2 7.3.3 8.3.3 8.3.8 8.5.1 8.6.1","7.2.1 7.3.1 7.3.2 7.3.3 8.3.3 8.3.8 8.5.1 8.6.1",,H.1,"1.2 4.1 5.2","4.1 4.1.1 4.1.2 4.1.3 4.2","8.1 8.6",,,"ACCESS-2.A.MIL1 ACCESS-2.C.MIL2","AM:SG1.SP1 HRM:SG4.SP2 ID:SG1.SP3 KIM:SG4.SP2","1.2 1.6","5.5 5.6 5.6.4",,,,AC.L1-b.1.i,,,"AC-1 IA-1",,,,52.204-21(b)(1)(i),,,"§ 11.10 § 11.10(d) § 11.10(g) § 11.100 § 11.100(a) § 11.100(b)","AC-1 IA-1 ","AC-1 IA-1 ","AC-1 IA-1 ","AC-1 IA-1 ","AC-1 IA-1 ","AC-1 IA-1","AC-1 IA-1","AC-1 IA-1","AC-1 IA-1","AC-1 IA-1",,,,,"314.4(c)(1) 314.4(c)(1)(i) 314.4(c)(1)(ii)","164.308(a)(4)(i) 164.308(a)(4)(ii)(A) 164.308(a)(4)(ii)(B) 164.308(a)(4)(ii)(C) 164.312(a) 164.312(a)(1)",3.S.A,9.M.C,9.M.C,"2.E.6.2 AC-1 IA-1","120.14 120.15 120.16","CIP-004-6 R4","8-101 8-606 8-607","1.1 7.1",6.6,,,,"5.3 5.6","AC-1 IA-1 ","AC-1 IA-1 ","AC-1 IA-1 ",III.C,45.48.510,"1798.91.04(b) 1798.91.04(b)(1) 1798.91.04(b)(2)",,,,,,,,,500.07,Sec 4(2)(b)(ii)(C)(3),,38-99-20(D)(2)(a),,,"AC-1 IA-1","AC-1 IA-1","AC-1 IA-1",,,"§ 2447(b)(5) § 2447(c)(1)(A)(iv) § 2447(c)(1)(B)",,Art 9.4(d),,"Art 32.1 Art 32.2","Article 21.2(i) Article 21.2(j)",Art 4,,"Sec 14 Sec 15",Art 16,,,,,,"6.1 6.2","IDM-01 PSS-05 PSS-09",,,,"4.1 4.8 4.34 4.37 12.15 12.28 12.29",,,,,,,,,,,,"2-2 2-2-1-5",TPC-10,3.3.5,"2-2-1 2-2-2 2-2-4","2-2 2-2-1",,,"Sec 19 Sec 20",,"7.2.2 [OP.ACC.2] 7.2.4 [OP.ACC.4]",,,,,"B2.a B2.d",,2,,,,,Principle 5.10,,,"1146 1546",,,,,,,,,,,9.1.1,,10.1,16.1.31.C.01,,,,4.1,"9.1.2 9.1.3 9.1.8",,,,,,6.6,,"4.22 4.24",3.2.7,,,,,,,,,,,x,"FAR 52.204-21 NAIC",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Identification & Authentication,Retain Access Records,IAC-01.1,"Mechanisms exist to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.",,,"Does the organization retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed?",3,Protect,,X,,"There is no evidence of a capability to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.","SP-CMM1 is N/A, since a structured process is required to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to retain a record of personnel accountability to ensure there is a record of all access granted to an individual (system and application-wise), who provided the authorization, when the authorization was granted and when the access was last reviewed.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0407,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,"Authenticate, Authorize and Audit (AAA)",IAC-01.2,"Mechanisms exist to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).",,,"Does the organization strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP)?",9,Protect,,x,x,"There is no evidence of a capability to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).","SP-CMM1 is N/A, since a structured process is required to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to strictly govern the use of Authenticate, Authorize and Audit (AAA) solutions, both on-premises and those hosted by an External Service Provider (ESP).",,,,6.6,,6.6,6.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IA-4 IA-4(4)",,IA-4,IA-4,"IA-4 IA-4(4)",,,,,,,,,,,,,,"3.5.5.a 3.5.5.b 3.5.5.c 3.5.5.d",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- New control - Added NIST 800-53 R5 mapping for IA-04 & IA-04(04)" Identification & Authentication,Identification & Authentication for Organizational Users ,IAC-02,"Mechanisms exist to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users. ",,,"Does the organization uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users? ",9,Protect,X,X,X,"There is no evidence of a capability to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users. ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) organizational users and processes acting on behalf of organizational users. ",CC6.1,CC6.1-POF3,,"5.5 5.6 6.7 12.5",,"5.5 5.6 6.7 12.5","5.5 5.6 6.7 12.5",DSS05.04,,"IAM-13 IAM-16",,,,"CR 1.1 (5.3.1) CR 1.1 (5.3.3(1))",,,,,,5.15,,A.10.10,,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1036.007, T1040, T1047, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.008, T1072, T1078, T1078.002, T1078.003, T1078.004, T1087.004, T1098, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.002, T1133, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1185, T1190, T1197, T1210, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1505.004, T1525, T1528, T1530, T1537, T1538, T1539, T1542, T1542.001, T1542.003, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.004, T1547.006, T1547.009, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.001, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1552.007, T1555.005, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1569, T1569.001, T1569.002, T1574, T1574.005, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1610, T1611, T1613, T1619",TS-1.6,,,"PR.AC-P1 PR.AC-P6",,,,IA-2,IA-2,IA-2,IA-2,IA-2,,IA-2,IA-2,IA-2,,,IA-2,IA-2,IA-2,,IA-2,IA-2,IA-2,IA-2,IA-2,IA-2,"3.5.1 3.5.2",3.5.1.a,"3.5.1[a] 3.5.1[b] 3.5.1[c] 3.5.2[a] 3.5.2[b] 3.5.2[c]",A.03.05.01.a[02],,,PR.AC-6,"PR.AA-01 PR.AA-03",,"8.1.1 8.2","7.1 7.2 7.2.1 7.3 7.3.1 7.3.2 7.3.3 8.1 8.2 8.3 8.3.3 8.3.9",8.3.9,"8.3.3 8.3.9",,,"8.3.3 8.3.9",,"7.2.1 7.3.1 7.3.2 7.3.3 8.3.3 8.3.9","7.2.1 7.3.1 7.3.2 7.3.3 8.3.3 8.3.9",,H.2.2,,4.1.1,,,,,"AM:SG1.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3 TM:SG4.SP4",1.6,"5.5.1 5.5.2 5.5.2.1 5.5.2.2 5.5.2.3 5.5.2.4 5.6.1 5.6.1.1 5.6.2 5.6.2.1 5.6.2.1.1 5.6.2.1.1.1 5.6.2.1.1.2 5.6.2.1.1 5.6.2.1.3 5.6.2.2 5.6.2.2.1 5.6.2.2.2 5.6.3 5.6.3.1 5.6.3.2","IA.L1-3.5.1 IA.L1-3.5.2","IA.L1-3.5.1 IA.L1-3.5.2","IA.L1-3.5.1 IA.L1-3.5.2","AC.L1-b.1.i IA.L1-b.1.v IA.L1-b.1.vi","IA.L2-3.5.1 IA.L2-3.5.2","IA.L2-3.5.1 IA.L2-3.5.2",IA-2,,,,"52.204-21(b)(1)(i) 52.204-21(b)(1)(v) 52.204-21(b)(1)(vi)",,,"§ 11.10 § 11.10(d) § 11.10(g)",IA-2 ,IA-2 ,IA-2 ,IA-2 ,IA-2 ,IA-2,IA-2,IA-2,IA-2,IA-2,,,,,,164.312(a)(2)(i),,,,IA-2,"120.14 120.15 120.16",,8-607,7.1,"6.6 6.7",,,,5.3,IA-2 ,IA-2 ,IA-2 ,,,,,,,,,,,,,,,,,,IA-2,IA-2,IA-2,,,§ 2447(c)(1)(A)(iv),,,,,,,,,,,,,,,,"IDM-01 PSS-05 PSS-09",,,,"4.2 4.31 4.34",,,,,,,,,,,,,TPC-32,,2-2-3,,,,,,,,,,,B2.a,,2,,,,,Principle 5.10,,,0414,,,,,,,,,,,,,,16.1.32.C.01,"Principle 13 P13-(1) P13-(2) P13-(2)(a) P13-(2)(b) P13-(3) P13-(4)(a) P13-(4)(b) P13-(5)",,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Group Authentication ,IAC-02.1,Mechanisms exist to require individuals to be authenticated with an individual authenticator when a group authenticator is utilized. ,,,Does the organization require individuals to be authenticated with an individual authenticator when a group authenticator is utilized? ,7,Protect,,X,X,There is no evidence of a capability to require individuals to be authenticated with an individual authenticator when a group authenticator is utilized. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies proactively govern account management of individual, group, system, application, guest and temporary accounts. • Administrative processes and technologies require individuals to be authenticated with an individual authenticator when a group authenticator is utilized. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require individuals to be authenticated with an individual authenticator when a group authenticator is utilized. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-2(5),,,,IA-2(5),,,,IA-2(5),,,,,IA-2(5),,,,,,,,,3.5.12.a,,,,,,,A07:2021,,8.2.2,8.2.2,8.2.2,,8.2.2,8.2.2,8.2.2,8.2.2,8.2.2,,H.2.2,,,8.9,,,,,,,,,,,,,,,,,,,,,IA-2(5),,IA-2(5),IA-2(5),,IA-2(5),,IA-2(5),IA-2(5),,,,,,,,,,,,,,,,,,,,,,,IA-2(5),,,,,,,,,,,,,,,,,,,,IA-2(5),,,,,,,,,,,,,,,,,,,,,,,4.34,,,,,,,,,,,,2-2-1-7,,,,,,,,,,,,,,,,,,,,,,,,"0415 1619",,,,,,,,,,,,,,"16.1.33.C.01 16.1.33.C.02 16.1.34.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Replay-Resistant Authentication,IAC-02.2,Automated mechanisms exist to employ replay-resistant authentication.,,,Does the organization use automated mechanisms to employ replay-resistant authentication?,9,Protect,,X,X,There is no evidence of a capability to employ replay-resistant authentication.,"SP-CMM1 is N/A, since a structured process is required to employ replay-resistant authentication.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to incorporate replay-resistant authentication mechanisms to protect network access.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ replay-resistant authentication.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ replay-resistant authentication.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IA-2(8) IA-2(9)",,IA-2(8),"IA-2(8) IA-2(9)",IA-2(8),,IA-2(8),IA-2(8),IA-2(8),,5.2.8,IA-2(8),IA-2(8),IA-2(8),,,,,,,,3.5.4,"3.5.4 3.7.5.b",3.5.4,A.03.05.04,3.5.1e,,,,A07:2021,,8.5.1,,8.5.1,,,8.5.1,,8.5.1,8.5.1,,H.3.21,,,,,,,,,,,IA.L2-3.5.4,"IA.L2-3.5.4 TBD - 3.5.1e",,IA.L2-3.5.4,"IA.L2-3.5.4 IA.L3-3.5.1e",IA-2(8),,,,,,,,"IA-2(8) IA-2(9)",,IA-2(8) ,"IA-2(8) IA-2(9)",,IA-2(8),IA-2(8),IA-2(8),IA-2(8),IA-2(8),,,,,,,,,,IA-2(8),,,,,,,,,,,,IA-2(8) ,,,,,,,,,,,,,,,,,,,,IA-2(8),,,,,,,,,,,,,,,,,,,,,,,4.31,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1603 1055",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,,- renamed & wordsmithed control Identification & Authentication,Acceptance of PIV Credentials ,IAC-02.3,Mechanisms exist to accept and electronically verify organizational Personal Identity Verification (PIV) credentials. ,- Personal Identity Verification (PIV) credentials,,Does the organization accept and electronically verify organizational Personal Identity Verification (PIV) credentials? ,2,Protect,,X,X,There is no evidence of a capability to accept and electronically verify organizational Personal Identity Verification (PIV) credentials. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to accept and electronically verify organizational Personal Identity Verification (PIV) credentials. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IA-2(12) IA-8(5)",IA-2(12),IA-2(12),IA-2(12),"IA-2(12) IA-8(5)",,IA-2(12),IA-2(12),IA-2(12),IA-8(5),,IA-2(12),IA-2(12),IA-2(12),,,,,,,,,,,,,,,,A07:2021,,,,,,,,,,,,P.5.5.6.6,,,,,,,,,,,,,,,,,,,,,,,,IA-2(12) ,IA-2(12) ,IA-2(12) ,IA-2(12) ,IA-2(12) ,IA-2(12),IA-2(12),IA-2(12),IA-2(12),IA-2(12),,,,,,,,,,,,,,,,,,,5.3,,,IA-2(12) ,,,,,,,,,,,,,,,,,,,IA-2(12),IA-2(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Out-of-Band Authentication (OOBA) ,IAC-02.4,Mechanisms exist to implement Out-of-Band Authentication (OOBA) under specific conditions. ,,,Does the organization implement Out-of-Band Authentication (OOBA) under specific conditions? ,5,Protect,,X,X,There is no evidence of a capability to implement Out-of-Band Authentication (OOBA) under specific conditions. ,"SP-CMM1 is N/A, since a structured process is required to implement Out-of-Band Authentication (OOBA) under specific conditions. ","SP-CMM2 is N/A, since a well-defined process is required to implement out-of-Band Authentication (OOBA) under specific conditions. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. o Exist to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement Out-of-Band Authentication (OOBA) under specific conditions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-2(13),,,,IA-2(13),,,,,IA-2(13),5.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identification & Authentication for Non-Organizational Users ,IAC-03,"Mechanisms exist to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.",,,"Does the organization uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization?",9,Protect,,X,X,"There is no evidence of a capability to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.","SP-CMM1 is N/A, since a structured process is required to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) third-party users and processes that provide services to the organization.",CC6.1,CC6.1-POF3,,"6.7 12.5",,"6.7 12.5","6.7 12.5",DSS05.04,,"IAM-11 IAM-13 IAM-16",,,,"CR 1.1 (5.3.1) CR 1.1 (5.3.3(1))",,,,,,5.16,,,,,,,"T1053, T1053.007, T1059, T1059.001, T1059.008, T1087.004, T1190, T1210, T1213, T1213.001, T1213.002, T1528, T1530, T1537, T1538, T1542, T1542.001, T1542.003, T1542.005, T1547.006",,,,PR.AC-P1,,,,IA-8,IA-8,IA-8,IA-8,IA-8,,IA-8,IA-8,IA-8,,,IA-8,IA-8,IA-8,,IA-8,IA-8,,,IA-8,IA-8,,"3.5.1.a 3.7.5.a","3.12.4[a] 3.12.4[b] 3.12.4[c] 3.12.4[d] 3.12.4[e] 3.12.4[f] 3.12.4[g] 3.12.4[h]",,,,,"PR.AA-01 PR.AA-03",A07:2021,,,,,,,,,,,,"B.1.1.11 ",,,,,,,"AM:SG1.SP1 TM:SG4.SP1",,"5.5.1 5.5.2 5.5.2.1 5.5.2.2 5.5.2.3 5.5.2.4",,,,,,,IA-8,,,,,,,,IA-8 ,IA-8 ,IA-8 ,IA-8 ,IA-8 ,IA-8,IA-8,IA-8,IA-8,IA-8,,,,,,,,,,"2.E.6.2 IA-8","120.14 120.15 120.16",,8-607,7.1,"6.6 6.7",,,,5.3,,,,,,,,,,,,,,,,,,,,,IA-8,IA-8,IA-8,,,,,,,,,Art 4,,,,,,,,,,"PSS-05 PSS-09",,,,"4.2 4.21",,,,,,,,,,,,,,,2-2-3,,,,,,,,,,,B2.a,,,,,,,,,,1583,,,,,,,,,,,,,,,"Principle 13 P13-(1) P13-(2) P13-(2)(a) P13-(2)(b) P13-(3) P13-(4)(a) P13-(4)(b) P13-(5)",,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Acceptance of PIV Credentials from Other Organizations ,IAC-03.1,Mechanisms exist to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.,,,Does the organization accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties?,2,Protect,,X,X,There is no evidence of a capability to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.,"SP-CMM1 is N/A, since a structured process is required to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to accept and electronically verify organizational Personal Identity Verification (PIV) credentials, including from third-parties.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to accept and electronically verify Personal Identity Verification (PIV) credentials from third-parties.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-8(1),IA-8(1),IA-8(1),IA-8(1),IA-8(1),,IA-8(1),IA-8(1),IA-8(1),,,IA-8(1),IA-8(1),IA-8(1),,,,,,,,,,,,,,,,A07:2021,,,,,,,,,,,,P.5.5.6.6,,,,,,,,,,,,,,,,,,,,,,,,IA-8(1) ,IA-8(1) ,IA-8(1) ,IA-8(1) ,IA-8(1) ,IA-8(1),IA-8(1),IA-8(1),IA-8(1),IA-8(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Acceptance of Third-Party Credentials,IAC-03.2,"Automated mechanisms exist to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials. ",,,"Does the organization use automated mechanisms to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials? ",2,Protect,,X,X,"There is no evidence of a capability to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials. ","SP-CMM1 is N/A, since a structured process is required to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to accept Federal Identity, Credential and Access Management (FICAM)-approved third-party credentials. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-8(2),IA-8(2),IA-8(2),IA-8(2),IA-8(2),,IA-8(2),IA-8(2),IA-8(2),,,IA-8(2),IA-8(2),IA-8(2),,,,,,,,,,,,,,,,A07:2021,,8.2.3,,,,,,,,8.2.3,,P.5.5.6.6,,,,,,,,,,,,,,,,,,,,,,,,"IA-8(2) IA-8(3) ","IA-8(2) IA-8(3) ","IA-8(2) IA-8(3) ","IA-8(2) IA-8(3) ","IA-8(2) IA-8(3) ",,,,,,,,,,,,,,,IA-8(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-8(2),IA-8(2),,,,,,,,,,,,,,,,,,,"PSS-05 PSS-09",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Use of FICAM-Issued Profiles,IAC-03.3,"Mechanisms exist to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles. ",,,"Does the organization conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles? ",2,Protect,,X,X,"There is no evidence of a capability to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles. ","SP-CMM1 is N/A, since a structured process is required to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conform systems to Federal Identity, Credential and Access Management (FICAM)-issued profiles. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-8(4),IA-8(4),IA-8(4),IA-8(4),IA-8(4),,IA-8(4),IA-8(4),IA-8(4),,,IA-8(4),IA-8(4),IA-8(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,C.5.1,,,,,,,,,,,,,,,,,,,,,,,,IA-8(4) ,IA-8(4) ,IA-8(4) ,IA-8(4) ,IA-8(4) ,IA-8(4),IA-8(4),IA-8(4),IA-8(4),IA-8(4),,,,,,,,,3.L.A,IA-8(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Disassociability,IAC-03.4,"Mechanisms exist to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.",,,"Does the organization disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties?",2,Protect,,X,X,"There is no evidence of a capability to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.","SP-CMM1 is N/A, since a structured process is required to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to disassociate user attributes or credential assertion relationships among individuals, credential service providers and relying parties.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-8(6),,,,,IA-8(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,,,,,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Acceptance of External Authenticators,IAC-03.5,Mechanisms exist to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.,,,Does the organization restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators?,4,Protect,,X,X,There is no evidence of a capability to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.,"SP-CMM1 is N/A, since a structured process is required to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the use of external authenticators to those that are National Institute of Standards and Technology (NIST)-compliant and maintain a list of accepted external authenticators.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-8(3),,,,,IA-8(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.1.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-8(3),IA-8(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-GV-1",,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,,,,,,,,,,,,,,"MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identification & Authentication for Devices,IAC-04,"Mechanisms exist to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.",- Active Directory (AD) Kerberos,,"Does the organization uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant?",9,Protect,X,X,X,"There is no evidence of a capability to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.","SP-CMM1 is N/A, since a structured process is required to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to uniquely identify and centrally Authenticate, Authorize and Audit (AAA) devices before establishing a connection using bidirectional authentication that is cryptographically- based and replay resistant.",CC6.1,CC6.1-POF8,,"6.7 12.5",,"6.7 12.5","6.7 12.5",,,"DCS-08 UEM-14","CLS-08 IAM-17",,,"CR 1.2 (5.4.1) CR 1.2 (5.4.3(1))",,,,,,5.16,,,,,,,"T1530, T1537, T1552, T1552.005, T1602, T1602.001, T1602.002",,,,PR.AC-P6,,,,"IA-3 IA-3(1) IA-3(4)",,IA-3,IA-3,"IA-3 IA-3(1) IA-3(4)",,,IA-3,IA-3,"IA-3(1) IA-3(4)",,IA-3,IA-3,IA-3,,IA-3,,,IA-3,IA-3,IA-3, 3.5.2,"3.1.18.b 3.5.2",,A.03.05.02,3.5.1e ,,PR.AC-7,"PR.AA-01 PR.AA-03",,,,,,,,,,,,,N.11,,,,,,,,1.1,,IA.L1-3.5.2,IA.L1-3.5.2,,IA.L1-b.1.v,IA.L2-3.5.2,"IA.L2-3.5.2 IA.L3-3.5.1e",IA-3,,,,52.204-21(b)(1)(v),,,"§ 11.10 § 11.10(h)",IA-3 ,,IA-3 ,IA-3 ,,IA-3,,IA-3,IA-3,,,,,,,,"1.S.A 2.S.A 3.S.A","1.M.A 3.M.C 3.M.D 9.M.C","1.M.A 3.M.C 3.M.D 9.M.C 3.L.D","IA-3 IA-3(1)",,,8-607,7.1,6.7,,,,5.3,,,IA-3 ,,,,,,,,,,,,,,,,,,,IA-3,IA-3,,,,,,,,,Art 25,,,,,,,,,,"PSS-05 PSS-09",,,,4.33,,,,,,,,,,,,,,,,,,,,,,,,,,"B2.a B2.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Device Attestation,IAC-04.1,Mechanisms exist to ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process.,,,Does the organization ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process?,5,Protect,,X,X,There is no evidence of a capability to ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process.,"SP-CMM1 is N/A, since a structured process is required to ensure device identification and authentication is accurate by centrally-managing the joining of systems to the domain as part of the initial asset configuration management process.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-3(4),,,,IA-3(4),,,,,IA-3(4),,,,,,,,,,,,,,,,3.5.3e,,,,,,,,,,,,,,,,N.19,,,,,,,,,,,,TBD - 3.5.3e,,,IA.L3-3.5.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B2.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identification & Authentication for Third Party Systems & Services,IAC-05,Mechanisms exist to identify and authenticate third-party systems and services.,,,Does the organization identify and authenticate third-party systems and services?,9,Protect,,X,X,There is no evidence of a capability to identify and authenticate third-party systems and services.,"SP-CMM1 is N/A, since a structured process is required to identify and authenticate third-party systems and services.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and authenticate third-party systems and services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and authenticate third-party systems and services.",CC6.1,CC6.1-POF8,,5.5,,5.5,5.5,,,,,,,,,,,,,5.16,,,,,,,"T1036, T1036.001, T1036.005, T1059, T1059.001, T1059.002, T1213.003, T1525, T1546, T1546.006, T1546.013, T1553, T1553.004, T1554, T1562.006, T1562.009, T1566, T1566.001, T1566.002, T1598, T1598.002, T1598.003",,,,PR.AC-P1,,,,IA-9,,,,IA-9,,,,,IA-9,,,,,,IA-9,,IA-9,,IA-9,IA-9,,"3.1.18.b 3.5.1.a 3.5.2","3.12.2[a] 3.12.2[b] 3.12.2[c]",,3.5.1e ,,,"PR.AA-01 PR.AA-03",,,8.2.3,,,,,,,,8.2.3,,N.11.3,,,,,,,"ID:SG1.SP1 KIM:SG2.SP2",,"5.5.1 5.5.2 5.5.2.1 5.5.2.2 5.5.2.3 5.5.2.4",,,,,,IA.L3-3.5.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-9,"120.14 120.15 120.16",,8-607,,"6.6 6.7",,,,5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 4,,,,,,,,,,"PSS-05 PSS-09",,,,4.2,,,,,,,,,,,,,,,2-2-3,,,,,,,,,,,"B2.a B2.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.1.8,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Sharing Identification & Authentication Information,IAC-05.1,Mechanisms exist to ensure external service providers provide current and accurate information for any third-party user with access to the organization's data or assets.,,,Does the organization ensure external service providers provide current and accurate information for any third-party user with access to the organization's data or assets?,5,Protect,,X,X,There is no evidence of a capability to ensure third-party service providers provide current and accurate information for any third-party user with access to the organization's data or assets.,"SP-CMM1 is N/A, since a structured process is required to ensure third-party service providers provide current and accurate information for any third-party user with access to the organization's data or assets.","SP-CMM2 is N/A, since a well-defined process is required to ensure third-party service providers provide current and accurate information for any third-party user with access to the organization's data or assets.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-9(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.2.3 8.6.1",,8.6.1,,,8.6.1,,8.6.1,"8.2.3 8.6.1",,P.9.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Privileged Access by Non-Organizational Users,IAC-05.2,Mechanisms exist to prohibit privileged access by non-organizational users.,,,Does the organization prohibit privileged access by non-organizational users?,9,Protect,,,,There is no evidence of a capability to prohibit privileged access by non-organizational users.,"SP-CMM1 is N/A, since a structured process is required to prohibit privileged access by non-organizational users.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to limit access to security functions to explicitly-authorized privileged users. • Technologies are configured to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to limit access to security functions to explicitly-authorized privileged users. • Technologies are configured to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit privileged access by non-organizational users.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit privileged access by non-organizational users.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-6(6),,,,,,,,,,,AC-6(6),,,,AC-6(6),AC-6(6),,3.7.5.a,,,,,,,,,,,,,,,,,,,H.2.5,,,,,,,,1.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-6(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B2.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Multi-Factor Authentication (MFA),IAC-06,"Automated mechanisms exist to enforce Multi-Factor Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/or process sensitive/regulated data.","- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)",,"Does the organization use automated mechanisms to enforce Multi-Factor Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/or process sensitive/regulated data?",9,Protect,,X,X,"There is no evidence of a capability to enforce Multi-Fact or Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/ or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/ or process sensitive/regulated data.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies require Multi-Fact or Authentication (MFA) for remote network access. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies require Multi-Fact or Authentication (MFA) for remote network access. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce Multi-Fact or Authentication (MFA) for: ▪ Remote network access; ▪ Third-party systems, applications and/ or services; and/ or ▪ Non-console access to critical systems or systems that store, transmit and/ or process sensitive/regulated data.",,,,"6.3 6.4","6.3 6.4","6.3 6.4","6.3 6.4",,,IAM-14,CLS-11,,,CR 1.1 (5.3.3(2)),,,,,,,,,6.8.1.2,,,,,"TS-1.6 TS-2.9",Sec 4(D)(2)(g),,,,,,IA-2(11),,IA-2(11),IA-2(11),"IA-2(1) IA-2(2)",,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,,,,,,3.5.3,"3.5.3 3.7.5.b",,A.03.05.03,,,PR.AC-7,,A07:2021,"8.3 8.3.1 8.3.2","8.2.3 8.4 8.4.2 8.4.3 8.5.1",,"8.4.2 8.4.3 8.5.1",,8.4.3,"8.4.2 8.4.3 8.5.1",,"8.4.2 8.4.3 8.5.1","8.2.3 8.4.2 8.4.3 8.5.1",,N.4.4,4.2,,,,,"ACCESS-1.H.MIL2 ACCESS-1.I.MIL3",,"1.1 1.3",,,IA.L2-3.5.3,IA.L2-3.5.3,,IA.L2-3.5.3,IA.L2-3.5.3,IA-2(11),,,,,,,,IA-2(11) ,,IA-2(11) ,IA-2(11) ,,,,,,,,,,,314.4(c)(5),,"1.S.A 2.S.A 3.S.A","1.M.A 1.M.B 3.M.D 6.M.A 9.M.C","1.M.A 1.M.B 3.M.D 6.M.A 9.M.C 3.L.D","IA-2(1) IA-2(2)",,,,,,,,,,,IA-2(11) ,IA-2(11) ,III.C.2,,,,,,,,,,,500.12,,,38-99-20(D)(2)(g),,,"IA-2(1) IA-2(2)",,IA-2(11),,,,,,,,Article 21.2(j),Art 4,,,,,,,,,,,,,,"4.21 4.32",,,,,,,,,,,,"2-2-1-3 2-2-1-4","TPC-4 TPC-5 TPC-37 TPC-44 TPC-45",,"2-2-3-2 2-4-3-2 2-15-3-5",,,,,,,,,,,B2.a,,2,,,"Principle 7.1 Principle 7.2 Principle 7.3 Principle 7.4","Principle 7.1 Principle 7.2 Principle 7.3 Principle 7.4 Principle 7.5 Principle 7.6 Principle 7.7","Principle 7.1 Principle 7.2 Principle 7.3 Principle 7.4 Principle 7.5 Principle 7.6 Principle 7.7",,,"0974 1173 1504 1505 1401 1559 1560 1561 1679 1680 1681 1682 1683 1684 1685",,,,,,,,,,,,,,"16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01 23.3.19.C.01 23.3.19.C.02",,,,4.6(b),9.1.5,,,,,,,,,,,,,,,,,,,,x,"NAIC Lockton",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Network Access to Privileged Accounts,IAC-06.1,Mechanisms exist to utilize Multi-Factor Authentication (MFA) to authenticate network access for privileged accounts. ,"- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)",,Does the organization utilize Multi-Factor Authentication (MFA) to authenticate network access for privileged accounts? ,9,Protect,,X,X,There is no evidence of a capability to utilize Multi-Fact or Authentication (MFA) to authenticate network access for privileged accounts. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate network access for privileged and non-privileged accounts. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate network access for privileged and non-privileged accounts. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Multi-Fact or Authentication (MFA) to authenticate network access for privileged accounts. ",,,,6.5,6.5,6.5,6.5,,,IAM-14,CLS-11,,,CR 1.1 (5.3.3(2)),,,,,,,,,,,,,,"TS-1.6 TS-2.6 TS-2.9",,,,,,,"IA-2(1) IA-2(4)",,IA-2(1),"IA-2(1) IA-2(4)","IA-2(1) IA-2(2)",,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,,,,,,3.5.3,"3.5.3 3.7.5.b","3.5.3[a] 3.5.3[c]",,,,,,A07:2021,,"8.4.1 8.4.2",,"8.4.1 8.4.2",,,"8.4.1 8.4.2",8.4.1,"8.4.1 8.4.2","8.4.1 8.4.2",,H.4.1,,,,,,ACCESS-1.H.MIL2,,,,,IA.L2-3.5.3,IA.L2-3.5.3,,IA.L2-3.5.3,IA.L2-3.5.3,IA-2(1),,,,,,,,"IA-2(1) IA-2(4)",IA-2(1) ,IA-2(1) ,"IA-2(1) IA-2(4)",IA-2(1) ,IA-2(1),IA-2(1),IA-2(1),IA-2(1),IA-2(1),,,,,,,,,,"IA-2(1) IA-2(2)",,,,,,,,,,,IA-2(1) ,IA-2(1) ,,,,,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",IA-2(1),IA-2(1),,,,,,,,,,,,,,,,,,,,,,,4.29,,,,,,,,,,,,2-2-1-4,"TPC-5 TPC-37",,,,,,,,,,,,,B2.c,,,,,,Principle 7.5,Principle 7.5,,,,,,,,,,,,,,,,,"16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01",,,,4.6(a),,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Network Access to Non-Privileged Accounts ,IAC-06.2,Mechanisms exist to utilize Multi-Factor Authentication (MFA) to authenticate network access for non-privileged accounts. ,"- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)",,Does the organization utilize Multi-Factor Authentication (MFA) to authenticate network access for non-privileged accounts? ,7,Protect,,X,X,There is no evidence of a capability to utilize Multi-Fact or Authentication (MFA) to authenticate network access for non-privileged accounts. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Multi-Fact or Authentication (MFA) to authenticate network access for non-privileged accounts. ",,,,,,,,,,,,,,CR 1.1 (5.3.3(2)),,,,,,,,,,,,,,TS-2.9,,,,,,,"IA-2(2) IA-2(4)",,IA-2(2),IA-2(4),"IA-2(1) IA-2(2)",,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,,,,,,3.5.3,3.5.3,3.5.3[d],,,,,,A07:2021,,8.4.2,,8.4.2,,,8.4.2,,8.4.2,8.4.2,,H.4.2,,,,,,,,,,,IA.L2-3.5.3,IA.L2-3.5.3,,IA.L2-3.5.3,IA.L2-3.5.3,IA-2(2),,,,,,,,"IA-2(2) IA-2(4)",,IA-2(2),"IA-2(2) IA-2(4)",,IA-2(2),IA-2(2),IA-2(2),IA-2(2),IA-2(2),,,,,,,,1.M.B,1.M.B,"IA-2(1) IA-2(2)",,,,,,,,,,,,IA-2(2),,,,,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",,IA-2(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-2-1-3,"TPC-5 TPC-45",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Local Access to Privileged Accounts ,IAC-06.3,Mechanisms exist to utilize Multi-Factor Authentication (MFA) to authenticate local access for privileged accounts. ,"- Multi-Factor Authentication (MFA) - Microsoft Active Directory (AD) Certificate Services - Yubico (https://www.yubico.com) - Duo (https://www.duo.com)",,Does the organization utilize Multi-Factor Authentication (MFA) to authenticate local access for privileged accounts? ,5,Protect,,X,X,There is no evidence of a capability to utilize Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to use Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Multi-Fact or Authentication (MFA) to authenticate local access for privileged accounts. ",,,,,,,,,,IAM-14,,,,CR 1.1 (5.3.3(2)),,,,,,,,,,,,,,,,,,,,,IA-2(3),,IA-2(3),IA-2(3),"IA-2(1) IA-2(2)",,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,,,,,,3.5.3,3.5.3,"3.5.3[a] 3.5.3[b]",,,,,,A07:2021,,8.4.2,,8.4.2,,,8.4.2,,8.4.2,8.4.2,,H.4.1,,,,,,ACCESS-1.H.MIL2,,,,,IA.L2-3.5.3,IA.L2-3.5.3,,IA.L2-3.5.3,IA.L2-3.5.3,IA-2(3),,,,,,,,IA-2(3) ,,IA-2(3) ,IA-2(3) ,,,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",,,,,,,,,,,,IA-2(3) ,,,,,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",,IA-2(3),,,,,,,,,,,,,,,,,,,,,,,4.30,,,,,,,,,,,,2-2-1-4,TPC-37,,,,,,,,,,,,,B2.c,,,,,,Principle 7.5,Principle 7.5,,,,,,,,,,,,,,,,,"16.7.34.C.01 16.7.34.C.02 16.7.35.C.01 16.7.36.C.01",,,,4.6(a),,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Out-of-Band Multi-Factor Authentication ,IAC-06.4,Mechanisms exist to implement Multi-Factor Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access. ,,,Does the organization implement Multi-Factor Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access? ,5,Protect,,X,X,There is no evidence of a capability to implement Multi-Fact or Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access. ,"SP-CMM1 is N/A, since a structured process is required to implement Multi-Fact or Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement Multi-Fact or Authentication (MFA) for remote access to privileged and non-privileged accounts such that one of the factors is securely provided by a device separate from the system gaining access. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IA-2(6) IA-2(11)",,IA-2(11),IA-2(11),"IA-2(1) IA-2(2) IA-2(6)",,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,,,,,,,,,,,,,,,,8.4.2,,8.4.2,,,8.4.2,,8.4.2,8.4.2,,N.4.6,,,,,,,,,,,,,,,,IA-2(11),,,,,,,,,,,,,IA-2(6),,IA-2(6),IA-2(6),,,,,,,,,,,"IA-2(1) IA-2(2) IA-2(6)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",,IA-2(11),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,User Provisioning & De-Provisioning ,IAC-07,Mechanisms exist to utilize a formal user registration and de-registration process that governs the assignment of access rights. ,,"E-HRS-12 E-HRS-18 E-HRS-19",Does the organization utilize a formal user registration and de-registration process that governs the assignment of access rights? ,10,Protect,,X,X,There is no evidence of a capability to utilize a formal user registration and de-registration process that governs the assignment of access rights. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a formal user registration and de-registration process that governs the assignment of access rights. ",CC6.2,"CC6.2-POF1 CC6.3-POF1 CC6.3-POF2",,"6.1 6.2","6.1 6.2","6.1 6.2","6.1 6.2",,,"IAM-06 IAM-07 IAM-16",IAM-08,SO7,,CR 2.1 (6.3.3(3)),,,,,"9.2.1 9.2.2 ","5.16 5.18","9.2.1 9.2.2 ",,"6.6 6.6.2 6.6.2.1 6.6.2.2",,,,,OR-3.1,,,,,,,IA-5(3),,IA-5(3),IA-5(3),IA-12(4),,,,IA-12(4),,,,,IA-12(4),,,,,,,,,3.5.5.a,,"A.03.01.01.c[02] A.03.01.01.c[03] A.03.01.01.d[01] A.03.01.01.d[02]",,,PR.AC-6,,A01:2021,,"7.2.3 8.2.4 8.3.5",8.3.5,"7.2.3 8.2.4 8.3.5",,,"7.2.3 8.2.4 8.3.5",8.2.4,"7.2.3 8.2.4 8.3.5","7.2.3 8.2.4 8.3.5",,H.2.3.1,,"4.1.1 4.2.1",,,,"ACCESS-1.A.MIL1 ACCESS-1.C.MIL1 ACCESS-1.F.MIL2 ACCESS-2.F.MIL2 ACCESS-2.G.MIL2",HRM:SG4.SP2,1.7,,,,,,,,IA-5(3),,,,,,,,IA-5(3),,IA-5(3),IA-5(3),,,,,,,,,,,,"164.308(a)(3)(ii)(A) 164.308(a)(3)(ii)(B)",3.S.A,"3.M.B 6.M.A","3.M.B 6.M.A 3.L.A 3.L.B 5.L.B 6.L.A 6.L.E",,,"CIP-004-6 R5",,,,,,,,,,IA-5(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6.4 6.5 6.6","IDM-01 IDM-02 PSS-09",,,,,,,,,,,,,,,,,,,,,,,,,7.2.1 [OP.ACC.1],,,,,B2.d,,3,,,,,Principle 5.10,,,0430,,,,,,,,,,,"9.2.1 9.2.1.6.PB 9.2.2 9.2.2.8.PB",,,23.3.20.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Change of Roles & Duties,IAC-07.1,"Mechanisms exist to revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted. ",,"E-HRS-12 E-HRS-19","Does the organization revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted? ",10,Protect,,X,,"There is no evidence of a capability to revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted. ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted. ",CC6.2,"CC6.2-POF1 CC6.3-POF1 CC6.3-POF2",,,,,,DSS06.03,,"IAM-07 IAM-16",,SO7,,,,,,,9.2.5,5.18,9.2.5,,6.6.2.5,,,,,,,,ID.IM-P2,,,,,,,,,,,,,,,,,,,,,,,,,,"3.5.5.a 3.5.5.b 3.5.5.d",,,,"PO.2 PO.2.1 PO.2.3",,,A01:2021,,"7.2.3 8.2.4 8.2.5",8.2.5,"7.2.3 8.2.4 8.2.5",,,"7.2.3 8.2.4 8.2.5","8.2.4 8.2.5","7.2.3 8.2.4 8.2.5","7.2.3 8.2.4 8.2.5",,H.2.1,,"4.1.2 4.1.3",,,,"ACCESS-2.F.MIL2 ACCESS-2.G.MIL2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,164.308(a)(3)(ii)(A),,3.M.B,3.M.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6.4 6.5 6.6","PS-04 PSS-08",,,,,,,,,,,,,,,,,,,,2-2-1-10,,,,,,,,,,B2.d,,,,,,,,,,0430,,,,Article 27,,,,,,,9.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Termination of Employment,IAC-07.2,"Mechanisms exist to revoke user access rights in a timely manner, upon termination of employment or contract.",,E-HRS-19,"Does the organization revoke user access rights in a timely manner, upon termination of employment or contract?",10,Protect,,X,X,"There is no evidence of a capability to revoke user access rights in a timely manner, up on termination of employment or contract.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to revoke user access rights in a timely manner, up on termination of employment or contract.",,,,,,,,,,"IAM-07 IAM-16",,,,,,,,,9.2.5,5.18,9.2.5,,6.6.2.5,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1025, T1036, T1036.003, T1036.005, T1041, T1047, T1048, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1072, T1078, T1078.001, T1078.002, T1078.003, T1078.004, T1087.004, T1098, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1185, T1190, T1197, T1210, T1212, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1505.003, T1525, T1528, T1530, T1537, T1538, T1542, T1542.001, T1542.003, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.004, T1547.006, T1547.009, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1552.007, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1567, T1569, T1569.001, T1569.002, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1606, T1606.001, T1606.002, T1609, T1610, T1611, T1612, T1613, T1619",,,,,,,,AC-2(10),,,,AC-2,,AC-2,AC-2,AC-2,,,AC-2,AC-2,AC-2,,AC-2,AC-2,AC-2,,AC-2,AC-2,,3.1.1.f.3,,,,,,,A01:2021,,"8.2.4 8.2.5",8.2.5,"8.2.4 8.2.5",,,"8.2.4 8.2.5","8.2.4 8.2.5","8.2.4 8.2.5","8.2.4 8.2.5",,E.2,,"4.1.2 4.1.3",,,,,,,,,,,,,,,,,,,,,,AC-2(10),,AC-2(10),AC-2(10),,,,,,,,,,,,164.308(a)(3)(ii)(C),,3.M.B,3.M.B,AC-2,,,,,,,,,,,,AC-2(10),,,,,,,,,,,,,,,,,,AC-2,,AC-2(10),,,,,,,,,,,,,,,,,,"6.4 6.5 6.6",,,,,,,,,,,,,,,,,,,,,"2-2-1-10 2-2-1-11",,,,,,,,,,B2.d,,,,,,,,,,0430,,,,,,,,,,,9.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Role-Based Access Control (RBAC) ,IAC-08,Mechanisms exist to enforce a Role-Based Access Control (RBAC) policy over users and resources that applies need-to-know and fine-grained access control for sensitive/regulated data access.,"- Role-Based Access Control (RBAC) ","E-HRS-12 E-IAM-02",Does the organization enforce a Role-Based Access Control (RBAC) policy over users and resources that applies need-to-know and fine-grained access control for sensitive/regulated data access?,9,Protect,,X,X,There is no evidence of a capability to enforce a Role-Based Access Control (RBAC) policy over users and resources that applies need-to-know and fine-grained access control for sensitive/regulated data access.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","CC6.1 CC6.3","CC5.2-POF3 CC6.3-POF3",,"3.3 5.6 6.8",3.3,"3.3 5.6","3.3 5.6 6.8",,,"IAM-03 IAM-09 IAM-10 IAM-16",,,,"CR 2.1 (6.3.1) CR 2.1 (6.3.3(1)) CR 2.1 (6.3.3(2))",,,,,9.1.2 ,"5.15 8.3",9.1.2 ,A.10.13,,,,,,TS-1.7,,,,,,,AC-2(7),,,,AC-2(7),,,,,AC-2(7),,,,,,,,,,,,3.1.3,"3.1.2 3.1.5.b 3.1.6.a 3.1.12.a 3.4.5",3.1.3[c],"A.03.01.02 A.03.01.05.ODP[01] A.03.01.05.ODP[02] A.03.01.06.ODP[01]",,,PR.AC-4,PR.AA-05,A01:2021,"7.1 7.1.2 7.1.3 7.1.4 7.2 7.2.1 7.2.2 7.2.3","1.3 7.1 7.2 7.2.1 7.2.2 7.2.5 7.3 7.3.1 7.3.2 7.3.3",,"7.2.2 7.2.5",7.2.2,7.2.2,"7.2.2 7.2.5",7.2.2,"7.2.1 7.2.2 7.2.5 7.3.1 7.3.2 7.3.3","7.2.1 7.2.2 7.2.5 7.3.1 7.3.2 7.3.3",,H.2.3,"1.2 5.1","4.1.2 4.2.1","8.4 8.6",,,"ACCESS-1.G.MIL2 ACCESS-2.B.MIL1 ACCESS-2.C.MIL2",,,5.5.2,,AC.L2-3.1.3,,"AC.L1-b.1.i AC.L1-b.1.ii",AC.L2-3.1.3,AC.L2-3.1.3,AC-2(7),,,,"52.204-21(b)(1)(i) 52.204-21(b)(1)(ii)",,,"§ 11.10 § 11.10(d)",AC-2(7) ,,AC-2(7) ,AC-2(7) ,,AC-2(7),,AC-2(7),AC-2(7),,,,,,314.4(c)(1)(ii),164.308(a)(3)(i),3.S.A,,"3.L.B 3.L.C","2.C.1 2.D.6 AC-2(7)",,,,"1.1 10.2",6.10,,,,,,AC-2(7) ,AC-2(7) ,,,,,,,,,,,,,,,,,,,,AC-2(7),,,"§ 2447(b)(5) § 2447(c)(2)(A)",3.4.2.(32),,,,,,,,,,,,,,6.2,"PSS-08 PSS-11",,,,"4.2 4.8 4.9 4.10 4.11 4.20 12.28 12.29",,,,,,,,,,,,,TPC-39,,2-2-3-3,,,,,,7.2.4 [OP.ACC.4],,,,,"B2.a B2.d B3.a",,3,,,"Principle 5.1 Principle 5.2 Principle 5.3 Principle 5.4 Principle 5.5","Principle 5.1 Principle 5.4","Principle 5.1 Principle 5.4 Principle 5.5",,,1746,,,,Article 27,,,,,,,9.1.2,,,"9.2.11.C.01 9.2.11.C.02 16.2.4.C.01 16.2.5.C.01",,,,,"9.1.7 11.1.6",,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 Lockton",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identifier Management (User Names),IAC-09,Mechanisms exist to govern naming standards for usernames and systems.,,,Does the organization govern naming standards for usernames and systems?,9,Protect,,X,X,There is no evidence of a capability to govern naming standards for usernames and systems.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to govern naming standards for usernames and systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to govern naming standards for usernames and systems.",CC6.1,,,5.6,,5.6,5.6,,,"IAM-03 IAM-13",,,,CR 1.4 (5.6.1),,,,,,5.16,,,,,,,"T1003, T1003.005, T1003.006, T1021.001, T1021.005, T1053, T1053.002, T1053.005, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1213, T1213.001, T1213.002, T1528, T1530, T1537, T1543, T1547.006, T1550.001, T1552, T1552.005, T1562, T1563, T1578, T1578.001, T1578.002, T1578.003, T1602, T1602.001, T1602.002",,,,,,,,IA-4,IA-4,IA-4,IA-4,IA-4,,IA-4,IA-4,IA-4,,,IA-4,IA-4,IA-4,,IA-4,IA-4,IA-4,,IA-4,IA-4,3.5.5,"3.5.5.a 3.5.5.b 3.5.5.c 3.5.5.d","3.5.5[a] 3.5.5[b]","A.03.04.05[04] A.03.04.05[05] A.03.04.05[06] A.03.05.05.a A.03.05.05.b[01] A.03.05.05.b[02] A.03.05.05.c A.03.05.05.ODP[01] A.03.05.05.ODP[02]",,,,,"A07:2021 A01:2021",,"8.2 8.2.1",8.2.1,8.2.1,,,8.2.1,8.2.1,8.2.1,8.2.1,,H.2.2,,4.1.1,,,,,"ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3",1.6,,,IA.L2-3.5.5,IA.L2-3.5.5,,IA.L2-3.5.5,IA.L2-3.5.5,IA-4,,,,,,,,IA-4 ,IA-4 ,IA-4 ,IA-4 ,IA-4 ,IA-4,IA-4,IA-4,IA-4,IA-4,,,,,,164.312(a)(2)(i),,,,IA-4,,,8-607,,,,,,,IA-4 ,IA-4 ,IA-4 ,,,,,,,,,,17.04(1)(d),,,,,,,,IA-4,IA-4,IA-4,,,"§ 2447(c)(1)(A)(i) § 2447(c)(2)(B)",,,,,,,,,,,,,,,,IDM-01,,,,12.15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,MA 201 CMR 17,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,User Identity (ID) Management ,IAC-09.1,Mechanisms exist to ensure proper user identification management for non-consumer users and administrators. ,,,Does the organization ensure proper user identification management for non-consumer users and administrators? ,9,Protect,,X,X,There is no evidence of a capability to ensure proper user identification management for non-consumer users and administrators. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure proper user identification management for non-consumer users and administrators. ",CC6.1,,,,,,,,,"IAM-03 IAM-13",,,,CR 1.4 (5.6.1),,,,,9.2.1 ,5.16,9.2.1 ,,"6.6 6.6.2 6.6.2.1",,,,,,,,,,,,IA-4(4),,,,IA-4(4),,,IA-4(4),IA-4(4),,,,IA-4(4),IA-4(4),,,,,,,,,3.5.5.b,,"A.03.05.01.a[01] A.03.05.01.ODP[01]",,,,,A01:2021,"8.1 8.1.1 8.1.2 8.1.3 8.1.4 8.1.5 8.1.6 8.1.7 8.1.8","8.2 8.2.1",8.2.1,8.2.1,,,8.2.1,8.2.1,8.2.1,8.2.1,,H.2.2,,4.1.1,,,,,,,,,,,,,,,,,,,,,,IA-4(4),,IA-4(4),IA-4(4),,IA-4(4),,IA-4(4),IA-4(4),,,,,,,,,,,IA-4(4),,,,7.1,,,,,,,,IA-4(4),,,,,,,,,,,,,,,,,,,,IA-4(4),,,"§ 2447(c)(1)(A)(i) § 2447(c)(2)(B)",,,,,,,,,,,,,,,,,,,,12.15,,,,,,,,,,,,,,,2-2-3-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"9.2.1 9.2.1.6.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identity User Status,IAC-09.2,Mechanisms exist to identify contractors and other third-party users through unique username characteristics. ,,,Does the organization identify contractors and other third-party users through unique username characteristics? ,7,Protect,,X,X,There is no evidence of a capability to identify contractors and other third-party users through unique username characteristics. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies identify contract or and other third-party users through unique username characteristics. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies identify contract or and other third-party users through unique username characteristics. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify contractors and other third-party users through unique username characteristics. ",,,,,,,,,,"IAM-03 IAM-13",,,,,,,,,,,,,,,,,,,,,,,,,IA-4(4),,,,IA-4(4),,,IA-4(4),IA-4(4),,,,IA-4(4),IA-4(4),,,,,,,,,3.5.5.d,,A.03.05.05.d,,,,,A01:2021,,,,,,,,,,,,H.2.2,,,,,,,,,,,,,,,,,,,,,,,,IA-4(4),,IA-4(4),IA-4(4),,IA-4(4),,IA-4(4),IA-4(4),,,,,,,,,,,IA-4(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 13 P13-(1) P13-(2) P13-(2)(a) P13-(2)(b) P13-(3) P13-(4)(a) P13-(4)(b) P13-(5)",,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Dynamic Management,IAC-09.3,Mechanisms exist to dynamically manage usernames and system identifiers. ,- Microsoft Active Directory (AD),,Does the organization dynamically manage usernames and system identifiers? ,5,Protect,,X,X,There is no evidence of a capability to dynamically manage usernames and system identifiers. ,"SP-CMM1 is N/A, since a structured process is required to dynamically manage usernames and system identifiers. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to dynamically manage usernames and system identifiers. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to dynamically manage usernames and system identifiers. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IA-4(5) IA-5(2) IA-5(10)",,IA-5(2),IA-5(2),"IA-4(5) IA-5(2) IA-5(10)",,,IA-5(2),IA-5(2),"IA-4(5) IA-5(10)",,,IA-5(2),IA-5(2),,,,,,,,,,,,,,,,A01:2021,,,,,,,,,,,,H.2.9,,,,,,,,,,,,,,,,IA-5(2),,,,,,,,IA-5(2),,IA-5(2),IA-5(2),,IA-5(2),,IA-5(2),IA-5(2),,,,,,,,,,,IA-5(2),,,,,,,,,,,,IA-5(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Cross-Organization Management,IAC-09.4,Mechanisms exist to coordinate username identifiers with external organizations for cross-organization management of identifiers. ,,,Does the organization coordinate username identifiers with external organizations for cross-organization management of identifiers? ,5,Protect,X,X,X,There is no evidence of a capability to coordinate username identifiers with external organizations for cross-organization management of identifiers. ,"SP-CMM1 is N/A, since a structured process is required to coordinate username identifiers with external organizations for cross-organization management of identifiers. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate username identifiers with external organizations for cross-organization management of identifiers. ",,,,,,,,,,IAM-03,,,,,,,,,,5.16,,,,,,,,,,,,,,,IA-4(6),,,,IA-4(6),,,,,IA-4(6),,,,,,IA-4(6),,,IA-4(6),IA-4(6),IA-4(6),,,,,,,,,,,,,,,,,,,,,I.3.2.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Privileged Account Identifiers,IAC-09.5,Mechanisms exist to uniquely manage privileged accounts to identify the account as a privileged user or service.,,,Does the organization uniquely manage privileged accounts to identify the account as a privileged user or service?,9,Protect,,X,X,There is no evidence of a capability to uniquely manage privileged accounts to identify the account as a privileged user or service.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies uniquely manage privileged accounts to identify the account as a privileged user or service.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies uniquely manage privileged accounts to identify the account as a privileged user or service.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to uniquely manage privileged accounts to identify the account as a privileged user or service.",,,,,,,,,,"IAM-03 IAM-09 IAM-10 IAM-11 IAM-13",,,,,,,,,,,,,,,,,,,,,,,,,IA-5(8),,,,IA-5(8),,,,,IA-5(8),,,,,,,,,,,,,"3.1.7.b 3.5.5.d",,,,,,,A01:2021,,,,,,,,,,,,H.2.5.1,,,,,,,,1.5,,,,,,,,,,,,,,,,IA-5(8),,,IA-5(8),,IA-5(8),,,IA-5(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IDM-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3,,,Principle 5.3,Principle 5.5,Principle 5.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Pairwise Pseudonymous Identifiers (PPID),IAC-09.6,Mechanisms exist to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.,,,Does the organization generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject?,1,Protect,,X,X,There is no evidence of a capability to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.,"SP-CMM1 is N/A, since a structured process is required to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate pairwise pseudonymous identifiers with no identifying information about a data subject to discourage activity tracking and profiling of the data subject.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CT.DP-P1 CT.DP-P2 CT.DP-P3 CT.DP-P4 CT.DP-P5",,,,DM-3(1),,,,IA-4(8),,,,,IA-4(8),,,,,,,,,,,,,,,,,,,,A01:2021,,,,,,,,,,,,H.2.2.1,,,,,,,,,,,,,,,,DM-3(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 11.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 6.1.b,,,,,,,,,,,,,,,,APP 2,,,,,,,,,,,"Article 35-2(1) Article 35-2(2) Article 35-2(3) Article 35-2(4) Article 35-2(5) Article 35-2(6) Article 35-2(7) Article 35-2(8) Article 35-2(9) Article 36(1) Article 36(2) Article 36(3) Article 36(4) Article 37 Article 38 Article 39",,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AM-1 R-AM-3 R-BC-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,,,,,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Authenticator Management,IAC-10,Mechanisms exist to securely manage authenticators for users and devices.,,,Does the organization securely manage authenticators for users and devices?,10,Protect,,X,X,There is no evidence of a capability to securely manage authenticators for users and devices.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.1,,,5.2,5.2,5.2,5.2,,,"IAM-02 IAM-14 IAM-15","IAM-18 IAM-21 IAM-22",,,CR 1.5 (5.7.1),,,,,"9.2.4 9.4.3","5.17 5.18","9.2.4 9.4.3",,"6.6.2.3 6.6.2.4 6.6.4.3",,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1021, T1021.001, T1021.004, T1040, T1072, T1078, T1078.002, T1078.004, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1111, T1114, T1114.002, T1133, T1136, T1136.001, T1136.002, T1136.003, T1528, T1530, T1539, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1555, T1555.001, T1555.002, T1555.004, T1555.005, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1563.001, T1599, T1599.001, T1601, T1601.001, T1601.002",,,,,,,,"IA-5 IA-5(4)",IA-5,IA-5,IA-5,"IA-5 IA-5(1)",,"IA-5 IA-5(1)","IA-5 IA-5(1)","IA-5 IA-5(1)",,,"IA-5 IA-5(1)","IA-5 IA-5(1)","IA-5 IA-5(1)",,IA-5,IA-5,IA-5,,IA-5,IA-5,"3.5.8 3.5.9","3.5.7.a 3.5.7.b 3.5.7.c 3.5.7.d 3.5.7.e 3.5.7.f 3.5.12.a 3.5.12.b 3.5.12.c 3.5.12.d 3.5.12.e 3.5.12.f","3.5.8[a] 3.5.8[b] 3.5.9","A.03.05.12.a A.03.05.12.b A.03.05.12.c[01] A.03.05.12.c[02] A.03.05.12.c[03] A.03.05.12.d A.03.05.12.e A.03.05.12.f[01] A.03.05.12.f[02] A.03.05.12.ODP[01]",,,PR.AC-7,,,"8.1.2 8.2 8.2.1 8.2.2 8.2.3 8.2.4 8.2.5 8.2.6","8.2.4 8.3 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.10.1 8.3.11 8.6.3","8.3.1 8.3.5 8.3.7 8.3.9","8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.11 8.6.3",,,"8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.6.3","8.2.4 8.3.1","8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.11 8.6.3","8.2.4 8.3.1 8.3.3 8.3.5 8.3.7 8.3.9 8.3.10.1 8.3.11 8.6.3",,H.3,"4.1 5.4",4.1.3,8.3,,,ACCESS-1.B.MIL1,TM:SG4.SP1,"1.1 1.6","5.6.2.1 5.6.2.1.1 5.6.2.1.1.1 5.6.2.1.1.2 5.6.2.1.1 5.6.2.1.3",,"IA.L2-3.5.8 IA.L2-3.5.9","IA.L2-3.5.8 IA.L2-3.5.9",IA.L1-b.1.vi,"IA.L2-3.5.8 IA.L2-3.5.9","IA.L2-3.5.8 IA.L2-3.5.9",IA-5,,,,52.204-21(b)(1)(vi),,,"§ 11.300 § 11.300(a) § 11.300(b) § 11.300(c) § 11.300(d) § 11.300(e)","IA-5 IA-5(4)",IA-5,"IA-5 IA-5(4)","IA-5 IA-5(4)",IA-5,IA-5,IA-5,IA-5,IA-5,IA-5,,,,,,,,3.M.C,3.M.C,"IA-5 IA-5(1)",,"CIP-007-6 R5",8-607,7.1,,,,,5.3,IA-5,IA-5,IA-5,III.C.1.a,,,,,,,,,"17.04(1)(b) 17.04(1)(c) 17.04(1)(d) 17.04(1)(e) 17.04(2)(b)",,,,,,,,IA-5,IA-5,IA-5,,,§ 2447(c)(1)(A)(ii),,,,,,Art 4,,,,,,,,,,IDM-08,,,,"4.35 12.15 12.16",,,,,,,,,,,,2-2-1-6,TPC-3,,2-2-3-1,2-2-1-8,,,,,7.2.5 [OP.ACC.5],,,,,B2.b,,2,,,,Principle 5.10,Principle 5.12,,,"1227 1593 1594 1595",,,,,,,,,,,"9.2.4 9.2.4.9.PB 9.4.3",,,"14.3.13.C.01 14.3.13.C.02 14.3.13.C.03 16.1.40.C.01 16.1.40.C.02 16.1.41.C.01 16.1.41.C.02 16.1.41.C.03 16.1.41.C.04 16.1.42.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Password-Based Authentication ,IAC-10.1,"Mechanisms exist to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.",,,"Does the organization enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication?",9,Protect,,,X,"There is no evidence of a capability to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies enforce password complexity to ensure strong passwords. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce complexity, length and lifespan considerations to ensure strong criteria for password-based authentication.",,,,5.2,5.2,5.2,5.2,,,"IAM-02 IAM-14 IAM-15","IAM-18 IAM-19 IAM-21",,,"CR 1.5 (5.7.1) CR 1.7 (5.9.1) CR 1.7 (5.9.1(1))",,,,,"9.2.4 9.4.3",5.17,"9.2.4 9.4.3",,,,,,,TS-1.6,,,,,,,IA-5(1),IA-5(1),IA-5(1),IA-5(1),IA-5(1),,IA-5(1),IA-5(1),IA-5(1),,"5.1.1.1 5.1.1.2 5.2.2",IA-5(1),IA-5(1),IA-5(1),,,,,,,,3.5.7,"3.5.7.e 3.5.7.f 3.5.12.b 3.5.12.c 3.5.12.d 3.5.12.e 3.5.12.f","3.5.7[a] 3.5.7[b] 3.5.7[c] 3.5.7[d]","A.03.05.07.f A.03.05.07.ODP[01]",,,PR.AC-7,,A07:2021,,"8.3 8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.3.10.1 8.6.3","8.3.1 8.3.5 8.3.6 8.3.7 8.3.9","8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.6.3",,,"8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.6.3","8.3.1 8.3.6","8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.6.3","8.3.1 8.3.3 8.3.5 8.3.6 8.3.7 8.3.9 8.3.10.1 8.6.3",,H.3.14,4.1,4.1.3,8.3,,,"ACCESS-1.B.MIL1 ACCESS-1.D.MIL2",,"1.1 1.4 1.6","5.6.2.1 5.6.2.1.1 5.6.2.1.1.1 5.6.2.1.1.2 5.6.2.1.1 5.6.2.1.3",,IA.L2-3.5.7,IA.L2-3.5.7,,IA.L2-3.5.7,IA.L2-3.5.7,IA-5(1),,,,,,,"§ 11.300 § 11.300(a) § 11.300(b) § 11.300(c) § 11.300(d) § 11.300(e)",IA-5(1) ,IA-5(1) ,IA-5(1) ,IA-5(1) ,IA-5(1) ,IA-5(1),IA-5(1),IA-5(1),IA-5(1),IA-5(1),,,,,,,,3.M.C,3.M.C,IA-5(1),,,,,,,,,5.3,IA-5(1) ,IA-5(1) ,IA-5(1) ,III.C.1.a,,,,,,,,,,,,,,,,,,IA-5(1),IA-5(1),,,,,,,,,Art 4,,,,,,,,,,"IDM-09 PSS-07",,,,"4.35 12.15 12.16",,,,,,,,,,,,2-2-1-5,TPC-2,,2-2-3-1,2-2-1-8,,,,,7.2.5 [OP.ACC.5],,,,,,,,,,,,,,,"0417 0421 1557 0422 1558 1596 1795",Principle 1,,,,,,,,,,"9.2.4 9.2.4.9.PB 9.4.3",,,"16.1.35.C.01 16.1.35.C.02 16.1.42.C.01 16.1.43.C.01",,,,,9.1.4,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,PKI-Based Authentication,IAC-10.2,Automated mechanisms exist to validate certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information for PKI-based authentication.,,,Does the organization use automated mechanisms to validate certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information for PKI-based authentication?,9,Protect,,,X,There is no evidence of a capability to validate certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information for PKI-based authentication.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies exist to validate PKI certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies exist to validate PKI certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information for PKI-based authentication.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate certificates by constructing and verifying a certification path to an accepted trust anchor including checking certificate status information for PKI-based authentication.",,,,,,,,,,IAM-14,"CLS-01 IAM-03",,,"CR 1.5 (5.7.1) CR 1.5 (5.7.3) CR 1.8 (5.10.1) CR 1.9 (5.11.1)",,,,,,,,,,,,,,,,,,,,,IA-5(2),,IA-5(2),IA-5(2),IA-5(2),,,IA-5(2),IA-5(2),,,,IA-5(2),IA-5(2),,,,,,,,,,,,,,,,A07:2021,,"8.3.1 8.3.11",8.3.1,"8.3.1 8.3.11",,,8.3.1,8.3.1,"8.3.1 8.3.11","8.3.1 8.3.11",,D.13.5,,,,,,ACCESS-1.B.MIL1,,,5.6.2.2,,,,,,,IA-5(2),,,,,,,"§ 11.200 § 11.200(a) § 11.200(a)(1) § 11.200(a)(1)(i) § 11.200(a)(1)(ii) § 11.200(a)(2) § 11.200(a)(3) § 11.200(b)",IA-5(2),,IA-5(2),IA-5(2),,IA-5(2),,IA-5(2),IA-5(2),,,,,,,,,,,IA-5(2),,,,,,,,,,,,IA-5(2),,,,,,,,,,,,,,,,,,,,IA-5(2),,,,,,,,,,,,,,,,,,,IDM-09,,,,"12.15 12.16",,,,,,,,,,,,,,,,,,,,,,,,,,B2.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,In-Person or Trusted Third-Party Registration,IAC-10.3,Mechanisms exist to conduct in-person or trusted third-party identify verification before user accounts for third-parties are created.,,,Does the organization conduct in-person or trusted third-party identify verification before user accounts for third-parties are created?,9,Protect,,X,,There is no evidence of a capability to conduct in-pers on or trusted third-party identify verification before user accounts for third-parties are created.,"SP-CMM1 is N/A, since a structured process is required to conduct in-pers on or trusted third-party identify verification before user accounts for third-parties are created.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct in-pers on or trusted third-party identify verification before user accounts for third-parties are created.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct in-pers on or trusted third-party identify verification before user accounts for third-parties are created.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(3),,IA-5(3),IA-5(3),IA-12(4),,,,IA-12(4),,,,,IA-12(4),,,,,,,,,3.5.12.a,,,,,,,,,,,,,,,,,,,H.2.4,,,,,,,,,,,,,,,,IA-5(3),,,,,,,,IA-5(3),,IA-5(3),IA-5(3),,IA-12(4),,,IA-12(4),,,,,,,,,,,,,,,,,,,,5.3,,,IA-5(3),,,,,,,,,,,,,,,,,,,,IA-5(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Automated Support For Password Strength,IAC-10.4,Automated mechanisms exist to determine if password authenticators are sufficiently strong enough to satisfy organization-defined password length and complexity requirements. ,,,Does the organization use automated mechanisms to determine if password authenticators are sufficiently strong enough to satisfy organization-defined password length and complexity requirements? ,5,Protect,,,X,There is no evidence of a capability to determine if password authenticators are sufficiently strong enough to satisfy organization-defined password length and complexity requirements. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,IAM-15,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(4),,,,IA-5(1),,IA-5(1),IA-5(1),IA-5(1),,,IA-5(1),IA-5(1),IA-5(1),,,,,,,,,"3.5.7.a 3.5.7.b",,"A.03.05.07.a[01] A.03.05.07.a[02] A.03.05.07.a[03] A.03.05.07.b",,,,,A07:2021,,,,,,,,,,,,H.3.14,,,,,,,,,,,,,,,,,,,,,,,"§ 11.300 § 11.300(b)",IA-5(4),,IA-5(4),IA-5(4),,IA-5(1),IA-5(1),IA-5(1),IA-5(1),IA-5(1),,,,,,,,,,IA-5(1),,,,,,,,,,,,IA-5(4),,,,,,,,,,,,,,,,,,,,IA-5(4),,,,,,,,,Art 19,,,,,,,,,,PSS-07,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.1.41.C.01 16.1.41.C.02 16.1.41.C.03 16.1.41.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Protection of Authenticators,IAC-10.5,Mechanisms exist to protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access. ,,,Does the organization protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access? ,10,Protect,,X,X,There is no evidence of a capability to protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect authenticators commensurate with the sensitivity of the information to which use of the authenticator permits access. ",,,,,,,,,,IAM-15,IAM-22,,,,,,,,"9.2.4 9.3.1 ",5.17,"9.2.4 9.3.1 ",,,,,,,,,,,,,,IA-5(6),,,,IA-5(6),,,IA-5(6),IA-5(6),,,,IA-5(6),IA-5(6),,,,,,,,3.5.10,"3.5.7.c 3.5.7.d 3.5.12.f","3.5.10[a] 3.5.10[b]","A.03.05.07.c A.03.05.07.d",,,,PR.AA-04,,,8.3.11,,8.3.11,,,,,8.3.11,8.3.11,,H.3.8,5.4,4.1.3,,,,,,,,,IA.L2-3.5.10,IA.L2-3.5.10,,IA.L2-3.5.10,IA.L2-3.5.10,,,,,,,,"§ 11.300 § 11.300(a) § 11.300(d)",IA-5(6),,IA-5(6),IA-5(6),,IA-5(6),,IA-5(6),IA-5(6),,,,,,,,,,,IA-5(6),,,,,,,,,,,,IA-5(6),III.C.1.a,,,,,,,,,,,,,,,,,,,IA-5(6),,,§ 2447(c)(1)(A)(iii),,,,,,"Art 19 Art 22",,,,,,,,,,"IDM-08 PSS-07",,,,4.37,,,,,,,,,,,,2-2-1-6,TPC-3,,,,,,,,7.2.5 [OP.ACC.5],,,,,,,,,,,,,,,"0418 1597 1402 1590 1686 1749",,,,,,,,,,,"9.2.4 9.2.4.9.PB 9.3.1",,,"16.1.36.C.01 16.1.37.C.01 16.1.38.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,No Embedded Unencrypted Static Authenticators,IAC-10.6,"Mechanisms exist to ensure that unencrypted, static authenticators are not embedded in applications, scripts or stored on function keys. ",,,"Does the organization ensure that unencrypted, static authenticators are not embedded in applications, scripts or stored on function keys? ",10,Protect,,,X,"There is no evidence of a capability to ensure that unencrypted, static authenticators are not embedded in applications, scripts or stored on function keys. ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that unencrypted, static authenticators are not embedded in applications, scripts or stored on function keys. ",,,,,,,,,,IAM-15,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(7),,,,IA-5(7),,,,,IA-5(7),,,,,,,,,,,,,3.5.7.d,,,,,,,A07:2021,,8.6.2,,8.6.2,,,8.6.2,,8.6.2,8.6.2,,H.3.21,5.4,,,,,,,,,,,,,,,IA-5(7),,,,,,,,IA-5(7),,IA-5(7),IA-5(7),,IA-5(7),,IA-5(7),IA-5(7),,,,,,,,,,,IA-5(7),,,,,,,,,,,,IA-5(7),,,,,,,,,,,,,,,,,,,,IA-5(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-62,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,16.1.36.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Hardware Token-Based Authentication,IAC-10.7,Automated mechanisms exist to ensure organization-defined token quality requirements are satisfied for hardware token-based authentication.,- Tokens are sufficiently encrypted or do not reveal credentials or passwords within the token.,,Does the organization use automated mechanisms to ensure organization-defined token quality requirements are satisfied for hardware token-based authentication?,9,Protect,,,X,There is no evidence of a capability to ensure organization-defined token quality requirements are satisfied for hardware token-based authentication.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure organization-defined token quality requirements are satisfied for hardware token-based authentication.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure organization-defined token quality requirements are satisfied for hardware token-based authentication.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(11),IA-5(11),IA-5(11),IA-5(11),"IA-2(1) IA-2(2)",,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,"IA-2(1) IA-2(2)","IA-2(1) IA-2(2)","IA-2(1) IA-2(2)",,,,,,,,,,,,,,,,,,8.3.11,,8.3.11,,,,,8.3.11,8.3.11,,F.1.2.2,5.2,,,,,,,,,,,,,,,IA-5(11),,,,,,,,IA-5(11),IA-5(11),IA-5(11),IA-5(11),IA-5(11),,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",,,,,,,,,,IA-5(11),IA-5(11),IA-5(11),,,,,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",IA-5(11),IA-5(11),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Vendor-Supplied Defaults,IAC-10.8,Mechanisms exist to ensure vendor-supplied defaults are changed as part of the installation process.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization ensure vendor-supplied defaults are changed as part of the installation process?,10,Protect,,X,X,There is no evidence of a capability to ensure vendor-supplied defaults are changed as part of the installation process.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies ensure vendor-supplied defaults are changed as part of the installation process.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies ensure vendor-supplied defaults are changed as part of the installation process.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure vendor-supplied defaults are changed as part of the installation process.",CC6.1,,,4.7,4.7,4.7,4.7,,,IAM-15,IAM-20,,,,,,,,,5.17,,,,,,,,TS-1.2,,,,,,,"IA-5 IA-5(5)",IA-5,IA-5,IA-5,"IA-5 IA-5(5)",,IA-5,IA-5,IA-5,IA-5(5),,IA-5,IA-5,IA-5,,"IA-5 IA-5(5)",IA-5,IA-5,,IA-5,"IA-5 IA-5(5)",,"3.5.7.e 3.5.12.d",,,,,,,A07:2021,"2.1 2.1.1 8.3","2.2.2 2.3.1 6.5.2",2.2.2,"2.2.2 6.5.2",,"2.2.2 2.3.1","2.2.2 2.3.1 6.5.2","2.2.2 2.3.1","2.2.2 2.3.1 6.5.2","2.2.2 2.3.1 6.5.2",,U.1.3,,,,,,,TM:SG4.SP1,1.2,,,,,,,,IA-5,,,,,,,,IA-5,IA-5,IA-5,IA-5,IA-5,IA-5,IA-5,IA-5,IA-5,IA-5,,,,,,,,"9.M.B 9.M.C","9.M.B 9.M.C","IA-5 IA-5(5)",,,8-607,,,,,,,IA-5,IA-5,IA-5,,,,,,,,,,,,,,,,,,IA-5,IA-5,IA-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-2-1-3,,,,,,,,,,,,,,,,,,,,"1304 1806",Principle 1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Multiple Information System Accounts,IAC-10.9,Mechanisms exist to implement security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.,,,Does the organization implement security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems?,5,Protect,,,X,There is no evidence of a capability to implement security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement security safeguards to manage the risk of compromise due to individuals having accounts on multiple information systems.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(8),,,,IA-5(8),,,,,IA-5(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Expiration of Cached Authenticators,IAC-10.10,Automated mechanisms exist to prohibit the use of cached authenticators after organization-defined time period.,,,Does the organization use automated mechanisms to prohibit the use of cached authenticators after organization-defined time period?,5,Protect,,,X,There is no evidence of a capability to prohibit the use of cached authenticators after organization-defined time period.,"SP-CMM1 is N/A, since a structured process is required to prohibit the use of cached authenticators after organization-defined time period.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the use of cached authenticators after organization-defined time period.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the use of cached authenticators after organization-defined time period.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(13),,,,IA-5(13),,,,,IA-5(13),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.3.6,,,,,,,,,,,,,,,,,,,,,,,,IA-5(13),,,IA-5(13),,IA-5(13),,,IA-5(13),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Password Managers,IAC-10.11,Mechanisms exist to protect and store passwords via a password manager tool.,,,Does the organization protect and store passwords via a password manager tool?,8,Protect,,,X,There is no evidence of a capability to protect and store passwords via a password manager tool.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements. • Password managers are not governed.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Password managers are provided, but decentralized and not actively governed.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Centrally-managed password managers are provided.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect and store passwords via a password manager tool.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect and store passwords via a password manager tool.",,,,,,,,,,"IAM-02 IAM-15",,,,,,,,,,"5.17 5.18",,,,,,,,,,,,,,,,,,,IA-5(18),,,,,IA-5(18),,,,,,,,,,,,,"3.5.7.a 3.5.7.b 3.5.7.c 3.5.7.d 3.5.7.e 3.5.7.f",,"A.03.05.07.a[01] A.03.05.07.a[02] A.03.05.07.a[03] A.03.05.07.b",3.5.2e,,,,,,,,,,,,,,,,H.3.10.1,5.4,,,,,,,,,,,TBD - 3.5.2e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-2-1-6,TPC-3,,,2-2-1-9,,,,,7.2.5 [OP.ACC.5],,,,,,,,,,,,,,,,,,,,,,,,,,,,,"14.3.13.C.01 14.3.13.C.02 14.3.13.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Biometric Authentication,IAC-10.12,Mechanisms exist to ensure biometric-based authentication satisfies organization-defined biometric quality requirements for false positives and false negatives.,,,Does the organization ensure biometric-based authentication satisfies organization-defined biometric quality requirements for false positives and false negatives?,5,Protect,,X,X,There is no evidence of a capability to ensure biometric-based authentication satisfies organization-defined biometric quality requirements for false positives and false negatives.,"SP-CMM1 is N/A, since a structured process is required to ensure biometric-based authentication satisfies organization-defined biometric quality requirements for false positives and false negatives.","SP-CMM2 is N/A, since a well-defined process is required to ensure biometric-based authentication satisfies organization-defined biometric quality requirements for false positives and false negatives.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure biometric-based authentication satisfies organization-defined biometric quality requirements for false positives and false negatives.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure biometric-based authentication satisfies organization-defined biometric quality requirements for false positives and false negatives.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(12),,,,IA-5(12),,,,,IA-5(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Authenticator Feedback,IAC-11,Mechanisms exist to obscure the feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. ,,,Does the organization obscure the feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals? ,6,Protect,,,X,There is no evidence of a capability to obscure the feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to obscure the feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to obscure the feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to obscure the feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obscure the feedback of authentication information during the authentication process to protect the information from possible exploitation/use by unauthorized individuals. ",,,,,,,,,,,,,,CR 1.10 (5.12.1),,,,,,,,,,,,,"T1021.001, T1021.005, T1530, T1563, T1578, T1578.001, T1578.002, T1578.003",,,,,,,,IA-6,IA-6,IA-6,IA-6,IA-6,,IA-6,IA-6,IA-6,,,IA-6,IA-6,IA-6,,,,,,,,3.5.11,3.5.11,3.5.11,A.03.05.11,,,,,,,,,,,,,,,,,H.3.11,,,8.3,,,,TM:SG4.SP1,,,,IA.L2-3.5.11,IA.L2-3.5.11,,IA.L2-3.5.11,IA.L2-3.5.11,IA-6,,,,,,,,IA-6 ,IA-6 ,IA-6 ,IA-6 ,IA-6 ,IA-6,IA-6,IA-6,IA-6,IA-6,,,,,,,,,,IA-6,,,8-607,,,,,,,IA-6 ,IA-6 ,IA-6 ,,,,,,,,,,,,,,,,,,IA-6,IA-6,IA-6,,,,,,,,,,,,,,,,,,,,,,,4.36,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Cryptographic Module Authentication ,IAC-12,"Mechanisms exist to ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.",- FIPS 140-2,,"Does the organization ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength?",8,Protect,,,X,"There is no evidence of a capability to ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cryptographic modules adhere to applicable statutory, regulatory and contractual requirements for security strength.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-7,IA-7,IA-7,IA-7,IA-7,,IA-7,IA-7,IA-7,,,IA-7,IA-7,IA-7,,,,,,,,,,,,,,,,,8.2.1,"3.6.1.1 3.6.1.2 3.7.3",,,,,,,"3.6.1.2 3.7.3","3.6.1.1 3.6.1.2 3.7.3",,L.6.2,,,8.3,,,,TM:SG4.SP1,,,,,,,,,IA-7,,,,,,,,IA-7,IA-7,IA-7,IA-7,IA-7,IA-7,IA-7,IA-7,IA-7,IA-7,,,,,,,,,,IA-7,,,8-607,,,,,,,IA-7,IA-7,IA-7,,,,,,,,,,,,,,,,,,IA-7,IA-7,IA-7,,,,,,,,,,,,,,,,,,,,,,,4.37,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Hardware Security Modules (HSM),IAC-12.1,Automated mechanisms exist to utilize Hardware Security Modules (HSM) to protect authenticators on which the component relies. ,,,Does the organization use automated mechanisms to utilize Hardware Security Modules (HSM) to protect authenticators on which the component relies? ,3,Protect,,,X,There is no evidence of a capability to utilize Hardware Security Modules (HSM) to protect authenticators on which the component relies. ,"SP-CMM1 is N/A, since a structured process is required to utilize Hardware Security Modules (HSM) to protect authenticators on which the component relies. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize Hardware Security Modules (HSM) to protect authenticators on which the component relies. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize Hardware Security Modules (HSM) to protect authenticators on which the component relies. ",,,,,,,,,,,,,,"CR 1.5 (5.7.3(1)) CR 1.9 (5.11.3(1)) CR 1.14 (5.16.3(1))",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.AA-04,,,,,,,,,,,,,D.13.5.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17.10.12.C.01 17.10.12.C.02 17.10.12.C.03 17.10.12.C.04",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Adaptive Identification & Authentication ,IAC-13,Mechanisms exist to allow individuals to utilize alternative methods of authentication under specific circumstances or situations.,,,Does the organization allow individuals to utilize alternative methods of authentication under specific circumstances or situations?,5,Protect,,,X,There is no evidence of a capability to allow individuals to utilize alternative methods of authentication under specific circumstances or situations.,"SP-CMM1 is N/A, since a structured process is required to allow individuals to utilize alternative methods of authentication under specific circumstances or situations.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to allow individuals to utilize alternative methods of authentication under specific circumstances or situations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to allow individuals to utilize alternative methods of authentication under specific circumstances or situations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-10,,,,IA-10,,,,,IA-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.11,,,8.9,,,,IMC:SG2.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-607,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Single Sign-On (SSO),IAC-13.1,Mechanisms exist to provide a Single Sign-On (SSO) capability to the organization's systems and services.,,,Does the organization provide a Single Sign-On (SSO) capability to the organization's systems and services?,5,Protect,,,X,There is no evidence of a capability to provide a Single Sign- on (SSO) capability to the organization's systems and services.,"SP-CMM1 is N/A, since a structured process is required to provide a Single Sign- on (SSO) capability to the organization's systems and services.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide a Single Sign- on (SSO) capability to the organization's systems and services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide a Single Sign- on (SSO) capability to the organization's systems and services.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-2(10),,,,,IA-2(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Federated Credential Management,IAC-13.2,Mechanisms exist to federate credentials to allow cross-organization authentication of individuals and devices.,,,Does the organization federate credentials to allow cross-organization authentication of individuals and devices?,4,Protect,,,X,There is no evidence of a capability to federate credentials to allow cross-organization authentication of individuals and devices.,"SP-CMM1 is N/A, since a structured process is required to federate credentials to allow cross-organization authentication of individuals and devices.","SP-CMM2 is N/A, since a well-defined process is required to federate credentials to allow cross-organization authentication of individuals and devices.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to federate credentials to allow cross-organization authentication of individuals and devices.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to federate credentials to allow cross-organization authentication of individuals and devices.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(9),,,,,IA-5(9),,,,,,IA-5(9),,,,,IA-5(9),,,,,,,,,,,,,,,,,,,,,H.2.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Re-Authentication ,IAC-14,Mechanisms exist to force users and devices to re-authenticate according to organization-defined circumstances that necessitate re-authentication. ,,,Does the organization force users and devices to re-authenticate according to organization-defined circumstances that necessitate re-authentication? ,8,Protect,,,X,There is no evidence of a capability to force users and devices to re-authenticate according to organization-defined circumstances that necessitate re-authentication. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to force users and devices to re-authenticate according to organization-defined circumstances that necessitate re-authentication. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to force users and devices to re-authenticate according to organization-defined circumstances that necessitate re-authentication. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1110, T1110.001, T1110.002, T1110.003, T1110.004",,,,,,,,IA-11,,,,IA-11,,IA-11,IA-11,IA-11,,,IA-11,IA-11,IA-11,,,,,,,,,3.5.1.b,,"A.03.05.01.b A.03.05.01.ODP[01]",,,,,A07:2021,8.1.8,8.2.8,,8.2.8,,,8.2.8,,8.2.8,8.2.8,,H.3.12,,,"8.2 8.8",,,,"ID:SG2.SP1 ID:SG2.SP2",,,,,,,,,,,,,,,,,,,,,,IA-11,IA-11,IA-11,IA-11,IA-11,,,,,,,,,,IA-11,,,8-607,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Account Management ,IAC-15,"Mechanisms exist to proactively govern account management of individual, group, system, service, application, guest and temporary accounts.",- Service accounts prohibit interactive login - users cannot log into systems with those accounts.,,"Does the organization proactively govern account management of individual, group, system, service, application, guest and temporary accounts?",10,Protect,,X,X,"There is no evidence of a capability to proactively govern account management of individual, group, system, service, application, guest and temporary accounts.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to proactively govern account management of individual, group, system, service, application, guest and temporary accounts.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively govern account management of individual, group, system, service, application, guest and temporary accounts.",CC6.1,,,,,,,,,"IAM-03 IAM-16 IAM-16",,,8.2.2,,,,,,"9.2.5 9.2.6","5.15 5.16 5.18","9.2.5 9.2.6",,,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1025, T1036, T1036.003, T1036.005, T1041, T1047, T1048, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1056.003, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1072, T1078, T1078.001, T1078.002, T1078.003, T1078.004, T1087.004, T1098, T1098.001, T1098.002, T1098.003, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1134, T1134.001, T1134.002, T1134.003, T1136, T1136.001, T1136.002, T1136.003, T1185, T1190, T1197, T1210, T1212, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1489, T1495, T1505, T1505.002, T1505.003, T1525, T1528, T1530, T1537, T1538, T1542, T1542.001, T1542.003, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1547.004, T1547.006, T1547.009, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1552.007, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1567, T1569, T1569.001, T1569.002, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1606, T1606.001, T1606.002, T1609, T1610, T1611, T1612, T1613, T1619",,,,,,,,AC-2,AC-2,AC-2,AC-2,AC-2,,AC-2,AC-2,AC-2,,,AC-2,AC-2,AC-2,,AC-2,AC-2,AC-2,,AC-2,AC-2,3.1.2,"3.1.1.a 3.1.1.b 3.1.1.c 3.1.1.d 3.1.1.e 3.1.1.f 3.1.1.f.1 3.1.1.f.2 3.1.1.f.3 3.1.1.f.4 3.1.1.f.5 3.1.1.g 3.1.1.g.1 3.1.1.g.2 3.1.1.g.3 3.1.2","3.1.2[a] 3.1.2[b]","A.03.01.01.b[01] A.03.01.01.b[02] A.03.01.01.b[03] A.03.01.01.b[04] A.03.01.01.b[05] A.03.01.01.c[01] A.03.01.01.c[02] A.03.01.01.c[03] A.03.01.01.e A.03.01.01.f.01 A.03.01.01.f.02 A.03.01.01.f.03 A.03.01.01.f.04 A.03.01.01.f.05 A.03.01.06.a A.03.05.07.e",,,PR.AC-1,,,"8.1.3 8.1.4 8.1.5 8.2.2 8.5 8.5.1 8.6 8.7","8.2.4 8.3.10 8.6 8.6.1",,"8.2.4 8.6.1",,,"8.2.4 8.6.1",8.2.4,"8.2.4 8.6.1","8.2.4 8.3.10 8.6.1",,H.7,,,8.3,,,,"AM:SG1.SP1 AM:SG1.SP2 AM:SG1.SP3 AM:SG1.SP4 ID:SG2.SP1 ID:SG2.SP2 ID:SG2.SP3 ID:SG2.SP4",1.2,,AC.L1-3.1.2,AC.L1-3.1.2,AC.L1-3.1.2,"AC.L1-b.1.i AC.L1-b.1.ii",AC.L2-3.1.2,AC.L2-3.1.2,AC-2,,,,"52.204-21(b)(1)(i) 52.204-21(b)(1)(ii)",,,,AC-2 ,AC-2,AC-2,AC-2,AC-2,AC-2,AC-2,AC-2,AC-2,AC-2,,"D3.PC.Im.B.7 D3.PC.Am.B.6",,,,164.312(a)(2)(ii),3.S.A,"3.M.A 9.M.B","3.M.A 9.M.B",AC-2,,,8-606,,,,,,,AC-2,AC-2,AC-2,,,,,,,,,,17.04(1)(a),,,,,,,,AC-2,AC-2,AC-2,,,,,,,,,,,,,,,,,,6.2,,,,,"4.3 4.4 4.6",,,,,,,,,,,,2-2-1-7,,,,2-2-1-10,,,,,,,,,,B2.d,,,,,,"Principle 5.2 Principle 5.3","Principle 5.2 Principle 5.3",,,"0441 0443",,,,,,,,,,,"9.2.5 9.2.6",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Automated System Account Management (Directory Services) ,IAC-15.1,"Automated mechanisms exist to support the management of system accounts (e.g., directory services). ",- Service accounts prohibit interactive login - users cannot log into systems with those accounts.,,Does the organization use automated mechanisms to support the management of system accounts? ,5,Protect,,,X,There is no evidence of a capability to support the management of system accounts. ,"SP-CMM1 is N/A, since a structured process is required to support the management of system accounts. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to support the management of system accounts. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to support the management of system accounts. ",,,,,,,,,,,,,,,,,,,,5.18,,,,,,,,,,,,,,,AC-2(1),,AC-2(1),AC-2(1),AC-2(1),,,AC-2(1),AC-2(1),,,,AC-2(1),AC-2(1),,,,,,,,,"3.5.5.a 3.5.5.b 3.5.5.c 3.5.5.d 3.5.7.c 3.5.7.d 3.5.7.e 3.5.7.f 3.5.12.a 3.5.12.b 3.5.12.c 3.5.12.d 3.5.12.e 3.5.12.f",,,,,,,,,,,,,,,,,,,H.7,,,,,,,,,,,,,,,,AC-2(1),,,,,,,,AC-2(1) ,,AC-2(1) ,AC-2(1) ,,AC-2(1),,AC-2(1),AC-2(1),,,,,,,,,,,AC-2(1),,,,,,,,,,,AC-2(1) ,AC-2(1) ,,,,,,,,,,,,,,,,,,,,AC-2(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 5.2 Principle 5.3","Principle 5.2 Principle 5.3 Principle 5.10",,,1649,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,,- renamed & wordsmithed control Identification & Authentication,Removal of Temporary / Emergency Accounts,IAC-15.2,Automated mechanisms exist to disable or remove temporary and emergency accounts after an organization-defined time period for each type of account. ,,,Does the organization use automated mechanisms to disable or remove temporary and emergency accounts after an organization-defined time period for each type of account? ,9,Protect,,,X,There is no evidence of a capability to disable or remove temporary and emergency accounts after an organization-defined time period for each type of account. ,"SP-CMM1 is N/A, since a structured process is required to disable or remove temporary and emergency accounts after an organization-defined time period for each type of account. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies automate the disabling or removal of temporary and emergency accounts after an organization-defined time period for each type of account. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies automate the disabling or removal of temporary and emergency accounts after an organization-defined time period for each type of account. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to disable or remove temporary and emergency accounts after an organization-defined time period for each type of account. ",,,,,,,,,,,,,,,,,,,,5.18,,,,,,,,,,,,,,,AC-2(2),,AC-2(2),AC-2(2),AC-2(2),,,AC-2(2),AC-2(2),,,,AC-2(2),AC-2(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,N.16,,,,,,,,,,,,,,,,AC-2(2),,,,,,,,AC-2(2) ,,AC-2(2) ,AC-2(2) ,,AC-2(2),,AC-2(2),AC-2(2),,,,,,,164.312(a)(2)(ii),,,,AC-2(2),,,,,,,,,,,,AC-2(2) ,,45.48.420 45.48.430,,,,,,,,,,,,,,,,,,AC-2(2),,,,,,,,,,,,,,,,,,,"IDM-04 PSS-09",,,,4.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Disable Inactive Accounts,IAC-15.3,Automated mechanisms exist to disable inactive accounts after an organization-defined time period. ,,,Does the organization use automated mechanisms to disable inactive accounts after an organization-defined time period? ,10,Protect,,,X,There is no evidence of a capability to disable inactive accounts after an organization-defined time period. ,"SP-CMM1 is N/A, since a structured process is required to disable inactive accounts after an organization-defined time period. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to automatically disable inactive accounts after an organization-defined time period. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to automatically disable inactive accounts after an organization-defined time period. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to disable inactive accounts after an organization-defined time period. ",,,,5.3,5.3,5.3,5.3,,,,,,,,,,,,9.2.1,5.16,9.2.1,,,,,,,,,,,,,,AC-2(3),,AC-2(3),AC-2(3),AC-2(3),,,AC-2(3),AC-2(3),,,,AC-2(3),AC-2(3),,,,,,,,3.5.6,3.1.1.f.2,"3.5.6[a] 3.5.6[b]",,,,,,,,8.2.6,,8.2.6,,,8.2.6,,8.2.6,8.2.6,,H.2.9,,,,,,ACCESS-1.J.MIL3,,,,,IA.L2-3.5.6,IA.L2-3.5.6,,IA.L2-3.5.6,IA.L2-3.5.6,AC-2(3),,,,,,,,AC-2(3) ,,AC-2(3) ,AC-2(3) ,,AC-2(3),,AC-2(3),AC-2(3),,,,,,,,,,,AC-2(3),,,,,,,,,,,,AC-2(3) ,,,,,,,,,,,,,,,,,,,,AC-2(3),,,,,,,,,,,,,,,,,,,IDM-03,,,,4.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 5.2 Principle 5.3","Principle 5.2 Principle 5.3",,,1404,,,,,,,,,,,"9.2.1 9.2.1.6.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Automated Audit Actions,IAC-15.4,"Automated mechanisms exist to audit account creation, modification, enabling, disabling and removal actions and notify organization-defined personnel or roles. ",,,"Does the organization use automated mechanisms to audit account creation, modification, enabling, disabling and removal actions and notify organization-defined personnel or roles? ",5,Protect,,,X,"There is no evidence of a capability to audit account creation, modification, enabling, disabling and removal actions and notify organization-defined personnel or roles. ","SP-CMM1 is N/A, since a structured process is required to audit account creation, modification, enabling, disabling and removal actions and notify organization-defined personnel or roles. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to implement automated maintenance actions, based on specific criteria and use cases.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-2(4),,AC-2(4),AC-2(4),AC-2(4),,,AC-2(4),AC-2(4),,,,AC-2(4),AC-2(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,H.7,,,,,,,,,,,,,,,,AC-2(4),,,,,,,,AC-2(4) ,,AC-2(4) ,AC-2(4) ,,AC-2(4),,AC-2(4),AC-2(4),,,,,,,,,,,AC-2(4),,,,,,,,,,,AC-2(4) ,AC-2(4) ,,,,,,,,,,,,,,,,,,,,AC-2(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Restrictions on Shared Groups / Accounts,IAC-15.5,Mechanisms exist to authorize the use of shared/group accounts only under certain organization-defined conditions.,,,Does the organization authorize the use of shared/group accounts only under certain organization-defined conditions?,10,Protect,,X,X,There is no evidence of a capability to authorize the use of shared/group accounts only under certain organization-defined conditions.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes authorize the use of shared/group accounts only under certain organization-defined conditions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes authorize the use of shared/group accounts only under certain organization-defined conditions.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,IAM-16,,,,,,,,,,5.16,,,,,,,,,,,,,,,AC-2(9),,,,AC-2(9),,,,,AC-2(9),,,,,,,,,,,,,,,,,,,,,,8.2.2,8.2.2,8.2.2,,8.2.2,8.2.2,8.2.2,8.2.2,8.2.2,,H.2.4.4,,,,,,,,,,,,,,,,,,,,,,,,AC-2(9),,AC-2(9),AC-2(9),,AC-2(9),,AC-2(9),AC-2(9),,,,,,,,,,,AC-2(9),,,,,,,,,,,,AC-2(9),"III.C.4 III.C.4.a III.C.4.b",,,,,,,,,,,,,,,,,,,AC-2(9),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.1.33.C.01 16.1.33.C.02 16.1.34.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Account Disabling for High Risk Individuals,IAC-15.6,Mechanisms exist to disable accounts immediately upon notification for users posing a significant risk to the organization.,,,Does the organization disable accounts immediately upon notification for users posing a significant risk to the organization?,10,Protect,,X,X,There is no evidence of a capability to disable accounts immediately up on notification for users posing a significant risk to the organization.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to disable accounts immediately up on notification for users posing a significant risk to the organization.",,,,,,,,,,"IAM-07 IAM-16",,,,,,,,,,,,,,,,,,,,,,,,,AC-2(13),,,AC-2(13),AC-2(13),,,AC-2(13),AC-2(13),,,,AC-2(13),AC-2(13),,,,,,,,,"3.1.1.f.4 3.1.1.f.5",,,,,,,A01:2021,,,,,,,,,,,,H.2.16,,,,,,,,,,,,,,,,,,,,,,,,AC-2(13) ,,,AC-2(13) ,,AC-2(13),,AC-2(13),AC-2(13),,,,,,,,,,,AC-2(13),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1591,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,System Account Reviews,IAC-15.7,Mechanisms exist to review all system accounts and disable any account that cannot be associated with a business process and owner. ,,,Does the organization review all system accounts and disables any account that cannot be associated with a business process and owner? ,10,Protect,,,X,There is no evidence of a capability to review all system accounts and disables any account that cannot be associated with a business process and owner. ,"SP-CMM1 is N/A, since a structured process is required to review all system accounts and disables any account that cannot be associated with a business process and owner. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies proactively govern account management of individual, group, system, application, guest and temporary accounts.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies proactively govern account management of individual, group, system, application, guest and temporary accounts.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.1.e 3.1.5",,"A.03.01.01.a[01] A.03.01.01.a[02] A.03.01.01.b[01] A.03.01.01.b[02] A.03.01.01.b[03] A.03.01.01.b[04] A.03.01.01.b[05]",,,,,,,"8.6 8.6.1",,8.6.1,,,8.6.1,,8.6.1,8.6.1,,H.2.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.2,,,,,,,,,,,,,,,,,,,,,2-2-1-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,"- renamed control - wordsmithed control" Identification & Authentication,Usage Conditions,IAC-15.8,Automated mechanisms exist to enforce usage conditions for users and/or roles.,,,Does the organization use automated mechanisms to enforce usage conditions for users and/or roles?,5,Protect,,X,X,There is no evidence of a capability to enforce usage conditions for users and/ or roles.,"SP-CMM1 is N/A, since a structured process is required to enforce usage conditions for users and/ or roles.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-2(11),,,AC-2(11),AC-2(11),,,,AC-2(11),,,,,AC-2(11),,,,,,,,,,,,,,,,,,,,,,,,,,,,D.2.1,,,,,,,,,,,,,,,,,,,,,,,,AC-2(11),,,AC-2(11),,AC-2(11),,,AC-2(11),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Emergency Accounts,IAC-15.9,"Mechanisms exist to establish and control ""emergency access only"" accounts.",,,"Does the organization establish and control ""emergency access only"" accounts?",5,Respond,,X,X,"There is no evidence of a capability to establish and control ""emergency access only"" accounts.","SP-CMM1 is N/A, since a structured process is required to establish and control ""emergency access only"" accounts.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • An IAM function, or similar function, provisions and deprovisions incident responders with temporary emergency accounts.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • An IAM function, or similar function, provisions and deprovisions incident responders with temporary emergency accounts.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish and control ""emergency access only"" accounts.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish and control ""emergency access only"" accounts.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.13.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1610 1611 1612 1613 1614 1615",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Privileged Account Management (PAM) ,IAC-16,Mechanisms exist to restrict and control privileged access rights for users and services.,,E-IAM-03,Does the organization restrict and control privileged access rights for users and services?,10,Protect,,X,X,There is no evidence of a capability to restrict and control privileged access rights for users and services.,"SP-CMM1 is N/A, since a structured process is required to restrict and control privileged access rights for users and services.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • An IAM function, or similar function, defines identification and access management controls using “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • Administrative processes and technologies restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • An IAM function, or similar function, defines identification and access management controls using “least privileges” practices for the management of user, group and system accounts, including privileged accounts. • Administrative processes and technologies restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.1,,,"5.1 5.4","5.1 5.4","5.1 5.4","5.1 5.4",,,"IAM-03 IAM-09 IAM-10 IAM-11",IAM-04,,,CR 2.1 (6.3.3(3)),,,,,9.2.3 ,"5.15 5.18 8.2",9.2.3 ,,6.6.2.3,,,,,TS-1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.5,"3.1.7.a 3.1.7.b",,"A.03.01.02 A.03.01.06.b A.03.01.06.ODP[01]",,,,,,,"7.2.3 7.2.5",,"7.2.3 7.2.5",,,"7.2.3 7.2.5",,"7.2.3 7.2.5","7.2.3 7.2.5",,H.4.1,1.2,4.2.1,,,,"ACCESS-1.G.MIL2 ACCESS-1.H.MIL2 ACCESS-2.B.MIL1",,1.5,,,AC.L2-3.1.5,,,AC.L2-3.1.5,AC.L2-3.1.5,,,,,,,,,,,,,,,,,,,,,,,,,,3.M.C,3.M.C,,,,,1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IDM-06,,,,4.2,,,,,,,,,,,,,TPC-34,,2-2-3-4,,,,,,,,,,,B2.c,,,,,"Principle 5.1 Principle 5.2 Principle 5.3 Principle 5.4 Principle 5.5","Principle 5.1 Principle 5.2 Principle 5.3 Principle 5.10","Principle 5.1 Principle 5.2 Principle 5.3 Principle 5.10 Principle 5.12",,,"1507 1508 0445 1509 1175 0446 0447 1620 1650 1648 1687 1688 1689",,,,,,,,,,,"9.2.3 9.2.3.11.PB",,,"16.3.5.C.01 16.3.5.C.02 16.3.6.C.01 16.3.6.C.02 16.3.7.C.01 16.4.30.C.01 16.4.30.C.02 16.4.30.C.03 16.4.31.C.01 16.4.31.C.02 16.4.32.C.01 16.4.32.C.02 16.4.33.C.01 16.4.34.C.01 16.4.35.C.01 16.4.35.C.02 16.4.35.C.03 16.4.36.C.01 16.4.37.C.01",,,,4.1,9.2.1,,,,,,,,"4.23 4.24",,,,,,,,,,,,x,Lockton,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Privileged Account Inventories ,IAC-16.1,Mechanisms exist to inventory all privileged accounts and validate that each person with elevated privileges is authorized by the appropriate level of organizational management. ,,E-IAM-03,Does the organization inventory all privileged accounts and validate that each person with elevated privileges is authorized by the appropriate level of organizational management? ,10,Protect,,,X,There is no evidence of a capability to inventory all privileged accounts and validate that each pers on with elevated privileges is authorized by the appropriate level of organizational management. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies inventory all privileged accounts and validate that each pers on with elevated privileges is authorized by the appropriate level of organizational management. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies inventory all privileged accounts and validate that each pers on with elevated privileges is authorized by the appropriate level of organizational management. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"5.1 5.5",5.1,"5.1 5.5","5.1 5.5",,,"IAM-03 IAM-10 IAM-11",,,,,,,,,,"5.18 8.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.5,,,,,,,,A01:2021,,7.2.4,,7.2.4,,,7.2.4,,7.2.4,7.2.4,,J.3.6,,,,,,,,,,,AC.L2-3.1.5,,,AC.L2-3.1.5,AC.L2-3.1.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-34,,,,,,,,,,,,,B2.c,,,,,,,,,,,,,,,,,,,,,,,,16.4.34.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Privileged Account Separation ,IAC-16.2,Mechanisms exist to separate privileged accounts between infrastructure environments to reduce the risk of a compromise in one infrastructure environment from laterally affecting other infrastructure environments.,,,Does the organization separate privileged accounts between infrastructure environments to reduce the risk of a compromise in one infrastructure environment from laterally affecting other infrastructure environments?,4,Protect,,,X,There is no evidence of a capability to separate privileged accounts between infrastructure environments to reduce the risk of a compromise in one infrastructure environment from laterally affecting other infrastructure environments.,"SP-CMM1 is N/A, since a structured process is required to separate privileged accounts between infrastructure environments to reduce the risk of a compromise in one infrastructure environment from laterally affecting other infrastructure environments.","SP-CMM2 is N/A, since a well-defined process is required to separate privileged accounts between infrastructure environments to reduce the risk of a compromise in one infrastructure environment from laterally affecting other infrastructure environments.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to separate privileged accounts between infrastructure environments to reduce the risk of a compromise in one infrastructure environment from laterally affecting other infrastructure environments.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to separate privileged accounts between infrastructure environments to reduce the risk of a compromise in one infrastructure environment from laterally affecting other infrastructure environments.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 5.3 Principle 5.4 Principle 5.5","Principle 5.5 Principle 5.6 Principle 5.7 Principle 5.8","Principle 5.6 Principle 5.7 Principle 5.8 Principle 5.9",,,,,,,,,,,,,,,,,23.3.18.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Periodic Review of Account Privileges,IAC-17,"Mechanisms exist to periodically-review the privileges assigned to individuals and service accounts to validate the need for such privileges and reassign or remove unnecessary privileges, as necessary.",,"E-HRS-12 E-HRS-14 E-IAM-01","Does the organization periodically-review the privileges assigned to individuals and service accounts to validate the need for such privileges and reassign or remove unnecessary privileges, as necessary?",10,Detect,,X,X,"There is no evidence of a capability to periodically-review the privileges assigned to individuals and service accounts to validate the need for such privileges and reassign or remove unnecessary privileges, as necessary.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies review all system accounts and disable any account that cannot be associated with a business process and owner. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies review all system accounts and disable any account that cannot be associated with a business process and owner. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to periodically-review the privileges assigned to individuals and service accounts to validate the need for such privileges and reassign or remove unnecessary privileges, as necessary.",CC6.2,"CC6.2-POF3 CC6.3-POF4",,,,,,,,"IAM-03 IAM-08 IAM-09 IAM-10 IAM-11 IAM-16",IAM-02,,,,,,,,"9.2.5 9.2.6","5.15 5.18 8.2","9.2.5 9.2.6",,,,,,,,,,,,,,AC-6(7),,,,AC-6(7),,,,,AC-6(7),,,,,,,,,,,,,"3.1.5.c 3.1.5.d",,"A.03.01.05.c A.03.01.05.d",,,,PR.AA-05,A01:2021,,"7.2.4 7.2.5.1 A3.4.1",,7.2.4,,,7.2.4,,"7.2.4 7.2.5.1","7.2.4 7.2.5.1",,H.2.1,,4.2.1,,,,"ACCESS-1.E.MIL2 ACCESS-2.B.MIL1",,,,,,,,,,,,,,,,,,AC-6(7),,,AC-6(7),,AC-6(7),,AC-6(7),AC-6(7),,,,,,,,,,3.L.C,AC-6(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.2,IDM-05,,,,4.3,,,,,,,,,,,,,"TPC-33 TPC-34",,"1-9-5 2-2-3-5",2-2-1-10,,,,,,,,,,"B2.c B2.d",,,,,,"Principle 5.2 Principle 5.3","Principle 5.2 Principle 5.3",,,"0405 1648 1716 1647 1734",,,,,,,,,,,"9.2.5 9.2.6",,,"16.4.35.C.01 16.4.35.C.02 16.4.35.C.03",,,,,9.1.6,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,User Responsibilities for Account Management,IAC-18,"Mechanisms exist to compel users to follow accepted practices in the use of authentication mechanisms (e.g., passwords, passphrases, physical or logical security tokens, smart cards, certificates, etc.). ","- Employment contract - Rules of Behavior - Formalized password policy",,"Does the organization compel users to follow accepted practices in the use of authentication mechanisms (e?g?, passwords, passphrases, physical or logical security tokens, smart cards, certificates, etc?)? ",10,Protect,,X,,"There is no evidence of a capability to compel users to follow accepted practices in the use of authentication mechanisms (e.g., passwords, passphrases, physical or logical security tokens, smart cards, certificates, etc.). ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies prevent the sharing of generic IDs, passwords or other generic authentication methods.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies prevent the sharing of generic IDs, passwords or other generic authentication methods.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel users to follow accepted practices in the use of authentication mechanisms (e.g., passwords, passphrases, physical or logical security tokens, smart cards, certificates, etc.). ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel users to follow accepted practices in the use of authentication mechanisms (e.g., passwords, passphrases, physical or logical security tokens, smart cards, certificates, etc.). ",,,,,,,,,,,,,,,,,,,9.3.1 ,5.17,9.3.1 ,,"6.6.3 6.6.3.1",,,,,,,,,,,,IA-5(6),,,,IA-5(6),,,IA-5(6),IA-5(6),,,,IA-5(6),IA-5(6),,,,,,,,,,,,,,,,,8.6,8.3.11,,8.3.11,,,,,8.3.11,8.3.11,,H.3,,,,,,,,,,,,,,,,,,,,,,,,IA-5(6),,IA-5(6),IA-5(6),,IA-5(6),,IA-5(6),IA-5(6),,,,,,,,,,,IA-5(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-2-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.3.1,,,16.4.37.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Credential Sharing ,IAC-19,"Mechanisms exist to prevent the sharing of generic IDs, passwords or other generic authentication methods.",,,"Does the organization prevent the sharing of generic IDs, passwords or other generic authentication methods?",10,Protect,,X,,"There is no evidence of a capability to prevent the sharing of generic IDs, passwords or other generic authentication methods.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies prevent the sharing of generic IDs, passwords or other generic authentication methods.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies prevent the sharing of generic IDs, passwords or other generic authentication methods.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the sharing of generic IDs, passwords or other generic authentication methods.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the sharing of generic IDs, passwords or other generic authentication methods.",,,,,,,,,,,,,,,,,,,,5.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.5 8.5.1","8.2.2 8.6.1",8.2.2,"8.2.2 8.6.1",,8.2.2,"8.2.2 8.6.1",8.2.2,"8.2.2 8.6.1","8.2.2 8.6.1",,H.3.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"III.C.4 III.C.4.a III.C.4.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Access Enforcement,IAC-20,"Mechanisms exist to enforce Logical Access Control (LAC) permissions that conform to the principle of ""least privilege.""",,,"Does the organization enforce Logical Access Control (LAC) permissions that conform to the principle of ""least privilege?""",10,Protect,,X,X,"There is no evidence of a capability to enforce Logical Access Control (LAC) permissions that conform to the principle of ""least privilege.""","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce Logical Access Control (LAC) permissions that conform to the principle of ""least privilege.""","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce Logical Access Control (LAC) permissions that conform to the principle of ""least privilege.""",CC6.1,,,,,,,,,"IAM-05 IAM-16",,,,,,,,,"9.2.6 9.4 ",5.18,"9.2.6 9.4 ",,"6.6.2.6 6.6.4",,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1025, T1036, T1036.003, T1036.005, T1037, T1037.002, T1037.003, T1037.004, T1037.005, T1041, T1047, T1048, T1048.001, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.008, T1055.009, T1056.003, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1070, T1070.001, T1070.002, T1070.003, T1071.004, T1072, T1078, T1078.002, T1078.003, T1078.004, T1080, T1087.004, T1090, T1090.003, T1091, T1095, T1098, T1098.001, T1098.002, T1098.003, T1098.004, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1114, T1114.002, T1133, T1134, T1134.001, T1134.002, T1134.003, T1134.005, T1136, T1136.001, T1136.002, T1136.003, T1185, T1187, T1190, T1197, T1199, T1200, T1205, T1205.001, T1210, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.002, T1218.007, T1218.012, T1219, T1222, T1222.001, T1222.002, T1484, T1485, T1486, T1489, T1490, T1491, T1491.001, T1491.002, T1495, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1505, T1505.002, T1505.003, T1505.004, T1525, T1528, T1530, T1537, T1538, T1539, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1546.004, T1546.013, T1547.003, T1547.004, T1547.006, T1547.007, T1547.009, T1547.011, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.002, T1552.005, T1552.007, T1553.003, T1556, T1556.001, T1556.003, T1556.004, T1557, T1557.001, T1557.002, T1558, T1558.001, T1558.002, T1558.003, T1558.004, T1559, T1559.001, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1564.004, T1565, T1565.001, T1565.003, T1567, T1569, T1569.001, T1569.002, T1570, T1572, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1606, T1606.001, T1606.002, T1609, T1610, T1611, T1612, T1613, T1619",,,,,,,,"AC-3 AC-6",AC-3,"AC-3 AC-6","AC-3 AC-6","AC-3 AC-6",,AC-3,AC-3,AC-3,,,AC-3,AC-3,AC-3,,AC-3,AC-3,AC-3,,AC-3,AC-3,3.1.1,,"3.1.1[a] 3.1.1[b] 3.1.1[c] 3.1.1[d] 3.1.1[e] 3.1.1[f]",A.03.01.03,3.14.3e,,,,A01:2021,"7.1 7.1.1 7.1.2 7.1.3 7.1.4 7.2 7.2.1 7.2.3","7.2.1 7.2.2 7.2.5 7.2.6",,"7.2.2 7.2.5",7.2.2,7.2.2,"7.2.2 7.2.5",7.2.2,"7.2.1 7.2.2 7.2.5 7.2.6","7.2.1 7.2.2 7.2.5 7.2.6",,H.2.3,"1.2 2.10 5.1",4.2.1,,,,ACCESS-2.D.MIL2,"AM:SG1.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3 TM:SG4.SP1",,,AC.L1-3.1.1,AC.L1-3.1.1,"AC.L1-3.1.1 TBD - 3.14.3e","AC.L1-b.1.i AC.L1-b.1.ii",AC.L2-3.1.1,"AC.L2-3.1.1 SI.L3-3.14.3e","AC-3 AC-6",,,,"52.204-21(b)(1)(i) 52.204-21(b)(1)(ii)",,,,"AC-3 AC-6",AC-3 ,"AC-3 AC-6","AC-3 AC-6",AC-3 ,"AC-3 AC-6",AC-3,"AC-3 AC-6","AC-3 AC-6",AC-3,,,,,314.4(c)(1)(i),,,,,"AC-3 AC-6",,,8-606,,,,,,,AC-3 ,"AC-3 AC-6","AC-3 AC-6",,,,,,,,,,"17.04(1)(b) 17.04(2)(a)",,,,622(2)(d)(C)(iii),,,,"AC-3 AC-6",,"AC-3 AC-6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"9.2.6 9.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17 OR 6464A",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Access To Sensitive / Regulated Data,IAC-20.1,Mechanisms exist to limit access to sensitive/regulated data to only those individuals whose job requires such access. ,,,"Does the organization limit access to sensitive/regulated data to only those individuals whose job requires such access? Does the organization explicitly define authorizations for specific individuals and/or roles for logical and /orphysical access to sensitive/regulated data?",10,Protect,,X,X,There is no evidence of a capability to limit access to sensitive/regulated data to only those individuals whose job requires such access. ,"SP-CMM1 is N/A, since a structured process is required to limit access to sensitive/regulated data to only those individuals whose job requires such access. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,DSP-17,,,,,,,,,,5.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.2 3.1.3 3.1.4.b",,"A.03.01.03 A.03.01.04.b",,,,,A01:2021,"7.1 7.1.1 7.1.2 7.1.3 7.1.4","7.2.1 7.2.2 7.2.5 7.2.6",,"7.2.2 7.2.5",7.2.2,7.2.2,"7.2.2 7.2.5",7.2.2,"7.2.1 7.2.2 7.2.5 7.2.6","7.2.1 7.2.2 7.2.5 7.2.6",,H.2.13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Database Access,IAC-20.2,Mechanisms exist to restrict access to databases containing sensitive/regulated data to only necessary services or those individuals whose job requires such access. ,,,Does the organization restrict access to databases containing sensitive/regulated data to only necessary services or those individuals whose job requires such access? ,10,Protect,,,X,There is no evidence of a capability to restrict access to databases containing sensitive/regulated data to only necessary services or those individuals whose job requires such access. ,"SP-CMM1 is N/A, since a structured process is required to restrict access to databases containing sensitive/regulated data to only necessary services or those individuals whose job requires such access. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies restrict access to database containing sensitive/regulated data to only necessary services or those individuals whose job requires such access. ","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies restrict access to database containing sensitive/regulated data to only necessary services or those individuals whose job requires such access. ","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Identification & Authentication (IAC) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,5.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A01:2021,8.7,7.2.6,,,,,,,7.2.6,7.2.6,,H.2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-2-1-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Use of Privileged Utility Programs,IAC-20.3,Mechanisms exist to restrict and tightly control utility programs that are capable of overriding system and application controls.,,,Does the organization restrict and tightly control utility programs that are capable of overriding system and application controls?,9,Protect,,,X,There is no evidence of a capability to restrict and tightly control utility programs that are capable of overriding system and application controls.,"SP-CMM1 is N/A, since a structured process is required to restrict and tightly control utility programs that are capable of overriding system and application controls.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict and tightly control utility programs that are capable of overriding system and application controls.",,,,,,,,,,,IAM-04,,,,RQ-05-14,,,,9.4.4 ,"5.18 8.18",9.4.4 ,,6.6.4.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A01:2021,"7.1 7.1.1 7.1.2 7.1.3 7.1.4 7.2 7.2.1 7.2.3","8.6 8.6.1",,8.6.1,,,8.6.1,,8.6.1,8.6.1,,H.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17.04(1)(b) 17.04(2)(a)",,,,622(2)(d)(C)(iii),,,,,,,,,,,,,,,,,,,,,,,,,IDM-06,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.4.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Dedicated Administrative Machines,IAC-20.4,Mechanisms exist to restrict executing administrative tasks or tasks requiring elevated access to a dedicated machine.,- Jump hosts,,Does the organization restrict executing administrative tasks or tasks requiring elevated access to a dedicated machine?,8,Protect,,X,X,There is no evidence of a capability to restrict executing administrative tasks or tasks requiring elevated access to a dedicated machine.,"SP-CMM1 is N/A, since a structured process is required to restrict executing administrative tasks or tasks requiring elevated access to a dedicated machine.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to restrict executing administrative tasks or tasks requiring elevated access to a dedicated machine.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to restrict executing administrative tasks or tasks requiring elevated access to a dedicated machine.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict executing administrative tasks or tasks requiring elevated access to a dedicated machine.",,,,12.8,,,12.8,,,,,,,,,,,,,,,,,,,,,TS-1.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.25,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-3-1-4,,,,2-3-1-7,,,,,,,,,,"B2.b B4.c",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Dual Authorization for Privileged Commands,IAC-20.5,Automated mechanisms exist to enforce dual authorization for privileged commands.,,,Does the organization use automated mechanisms to enforce dual authorization for privileged commands?,5,Protect,,,X,There is no evidence of a capability to enforce dual authorization for privileged commands.,"SP-CMM1 is N/A, since a structured process is required to enforce dual authorization for privileged commands.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • An IAM function, or similar function, configures business-critical systems to implement dual authorization requirements for privileged commands.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • An IAM function, or similar function, configures business-critical systems to implement dual authorization requirements for privileged commands.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce dual authorization for privileged commands.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce dual authorization for privileged commands.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(2),,,,AC-3(2),,,,,AC-3(2),,,,,,,,,,,,,,,,3.1.1e,,,,,,,,,,,,,,,,D.4.3.4,,,,,,,,,,,,TBD - 3.1.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Revocation of Access Authorizations,IAC-20.6,Mechanisms exist to revoke logical and physical access authorizations.,,,Does the organization revoke logical and physical access authorizations?,9,Protect,,x,x,There is no evidence of a capability to revoke logical and physical access authorizations.,"SP-CMM1 is N/A, since a structured process is required to revoke logical and physical access authorizations.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted. • Administrative processes and technologies revoke user access rights in a timely manner, up on termination of employment or contract.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies revoke user access rights following changes in personnel roles and duties, if no longer necessary or permitted. • Administrative processes and technologies revoke user access rights in a timely manner, up on termination of employment or contract.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to revoke logical and physical access authorizations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to revoke logical and physical access authorizations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-3(8),,,,,,,,,,,AC-3(8),,,,AC-3(8),AC-3(8),,,,,,,,,,,,,,,,,,,,,H.2.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Authorized System Accounts,IAC-20.7,"Mechanisms exist to define and document the types of accounts allowed and prohibited on systems, applications and services.",,,"Does the organization define and document the types of accounts allowed and prohibited on systems, applications and services?",9,Protect,,x,x,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- new control Identification & Authentication,Least Privilege ,IAC-21,"Mechanisms exist to utilize the concept of least privilege, allowing only authorized access to processes necessary to accomplish assigned tasks in accordance with organizational business functions. ",,,"Does the organization utilize the concept of least privilege, allowing only authorized access to processes necessary to accomplish assigned tasks in accordance with organizational business functions? ",10,Protect,,,X,"There is no evidence of a capability to utilize the concept of least privilege, allowing only authorized access to processes necessary to accomplish assigned tasks in accordance with organizational business functions. ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize the concept of least privilege, allowing only authorized access to processes necessary to accomplish assigned tasks in accordance with organizational business functions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize the concept of least privilege, allowing only authorized access to processes necessary to accomplish assigned tasks in accordance with organizational business functions. ",CC6.1,"CC5.2-POF3 CC6.1-POF6",,5.4,5.4,5.4,5.4,,,IAM-05,IAM-06,SO11,,"CCSC 3 (4.4) FR 5 (9.1)",,,,,"9.1.2 9.2.2","5.15 5.18 8.3 8.12","9.1.2 9.2.2",,6.6.1.2,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1005, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1025, T1036, T1036.003, T1036.005, T1041, T1047, T1048, T1048.002, T1048.003, T1052, T1052.001, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1053.006, T1053.007, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1056.003, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1068, T1070, T1070.001, T1070.002, T1070.003, T1072, T1078, T1078.001, T1078.002, T1078.003, T1078.004, T1087.004, T1091, T1098, T1098.001, T1098.002, T1098.003, T1106, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1112, T1133, T1134, T1134.001, T1134.002, T1134.003, T1134.005, T1136, T1136.001, T1136.002, T1136.003, T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1176, T1185, T1189, T1190, T1197, T1199, T1200, T1203, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.007, T1222, T1222.001, T1222.002, T1484, T1485, T1486, T1489, T1490, T1491, T1491.001, T1491.002, T1495, T1505, T1505.002, T1505.003, T1505.004, T1525, T1528, T1530, T1537, T1538, T1539, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1543.001, T1543.002, T1543.003, T1543.004, T1546.003, T1546.004, T1546.011, T1546.013, T1547.003, T1547.004, T1547.006, T1547.009, T1547.011, T1547.012, T1547.013, T1548, T1548.002, T1548.003, T1550, T1550.002, T1550.003, T1552, T1552.001, T1552.002, T1552.006, T1552.007, T1553, T1553.003, T1553.006, T1556, T1556.001, T1556.003, T1556.004, T1558, T1558.001, T1558.002, T1558.003, T1559, T1559.001, T1559.002, T1561, T1561.001, T1561.002, T1562, T1562.001, T1562.002, T1562.004, T1562.006, T1562.007, T1562.008, T1562.009, T1563, T1563.001, T1563.002, T1567, T1569, T1569.001, T1569.002, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1574.011, T1574.012, T1578, T1578.001, T1578.002, T1578.003, T1580, T1599, T1599.001, T1601, T1601.001, T1601.002, T1606, T1606.001, T1606.002, T1609, T1610, T1611, T1612, T1613, T1619",TS-2.6,,,PR.AC-P4,,,,AC-6,,AC-6,AC-6,"AC-6 SA-8(14)",,,AC-6,AC-6,SA-8(14),,,AC-6,AC-6,,,,,,,,3.1.5,"3.1.5.a 3.1.6.a 3.1.7.a 3.4.5","3.1.5[a] 3.1.5[b] 3.1.5[c] 3.1.5[d]","A.03.01.05.a A.03.01.05.b[01] A.03.01.05.b[02]",,,PR.AC-4,PR.AA-05,A01:2021,,"1.3 7.1 7.2 7.2.1 7.2.2 7.3 7.3.1 7.3.2 7.3.3",,7.2.2,7.2.2,7.2.2,7.2.2,7.2.2,"7.2.1 7.2.2 7.3.1 7.3.2 7.3.3","7.2.1 7.2.2 7.3.1 7.3.2 7.3.3",,H.2.3,"1.2 2.10 5.1",,8.7,,,"ACCESS-1.G.MIL2 ACCESS-2.D.MIL2 ARCHITECTURE-2.E.MIL2 ARCHITECTURE-3.C.MIL2","AM:SG1.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3",,5.5.2.1,,AC.L2-3.1.5,AC.L2-3.1.5,AC.L1-b.1.i,AC.L2-3.1.5,AC.L2-3.1.5,AC-6,,,,52.204-21(b)(1)(i),,,"§ 11.10 § 11.10(d)",AC-6 ,,AC-6 ,AC-6 ,,AC-6,,AC-6,AC-6,,,"D3.PC.Am.B.1 D3.PC.Am.B.2 D3.PC.Am.B.5",,,314.4(c)(1)(i),,"2.S.A 3.S.A 6.S.A 6.S.B","2.M.A 3.M.B 9.M.C","2.M.A 3.M.B 9.M.C 3.L.C 5.L.B 6.L.E","2.C.6 2.C.11 2.C.11.1 2.C.11.2 2.C.11.3 2.C.11.4 2.C.11.5 2.C.11.6 2.C.11.7 2.C.11.8 2.D.6 2.E.6.2 AC-6",,,8-303,,6.2,,,,5.3,,AC-6 ,AC-6 ,III.C.3,,,,,,,,,,,,,622(2)(d)(C)(iii),,,,AC-6,,,,,,,Art 9.4(c),,,,,,,,,,,,,6.2,IDM-07,,,,"4.10 12.29",,,,,,,,,,,,,,,,2-3-1-4,,,,,,,,,,B2.a,,,,,,,Principle 5.4,,,"0441 1705 1706 1707 1708",,,,,,,,,,,"9.1.2 9.2.2 9.2.2.8.PB",,,"16.2.4.C.01 16.4.31.C.01 16.4.31.C.02 23.4.10.C.01",,,,,9.1.1,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 OR 6464A",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Authorize Access to Security Functions ,IAC-21.1,Mechanisms exist to limit access to security functions to explicitly-authorized privileged users.,,,Does the organization limit access to security functions to explicitly-authorized privileged users?,9,Protect,,,X,There is no evidence of a capability to limit access to security functions to explicitly-authorized privileged users.,"SP-CMM1 is N/A, since a structured process is required to limit access to security functions to explicitly-authorized privileged users.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit access to security functions to explicitly-authorized privileged users.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit access to security functions to explicitly-authorized privileged users.",,,,,,,,,,IAM-09,,,,,,,,,,,,,,,,,,,,,,,,,AC-6(1),,AC-6(1),AC-6(1),AC-6(1),,,AC-6(1),AC-6(1),,,,AC-6(1),AC-6(1),,,,,,,,3.1.5,,,A.03.01.05.ODP[01],,,,,A01:2021,,,,,,,,,,,,H.12,,,,,,,,,,,AC.L2-3.1.5,,,AC.L2-3.1.5,AC.L2-3.1.5,AC-6(1),,,,,,,,AC-6(1),,AC-6(1),AC-6(1),,AC-6(1),,AC-6(1),AC-6(1),,,,,,,,,,,AC-6(1),,,,,,,,,,,,AC-6(1),,,,,,,,,,,,,,,,,,,,AC-6(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Non-Privileged Access for Non-Security Functions ,IAC-21.2,"Mechanisms exist to prohibit privileged users from using privileged accounts, while performing non-security functions. ",,,"Does the organization prohibit privileged users from using privileged accounts, while performing non-security functions? ",9,Protect,,,X,"There is no evidence of a capability to prohibit privileged users from using privileged accounts, while performing non-security functions. ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit privileged users from using privileged accounts, while performing non-security functions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit privileged users from using privileged accounts, while performing non-security functions. ",,,,5.4,5.4,5.4,5.4,,,,IAM-04,,,,,,,,,,,,,,,,,,,,,,,,AC-6(2),,AC-6(2),AC-6(2),AC-6(2),,,AC-6(2),AC-6(2),,,,AC-6(2),AC-6(2),,,,,,,,3.1.6,3.1.6.b,"3.1.6[a] 3.1.6[b]",,,,,,A01:2021,,,,,,,,,,,,H.2.5,,,,,,,,1.5,,,AC.L2-3.1.6,AC.L2-3.1.6,,AC.L2-3.1.6,AC.L2-3.1.6,AC-6(2),,,,,,,,AC-6(2),,AC-6(2),AC-6(2),,AC-6(2),,AC-6(2),AC-6(2),,,,,,,,,,,AC-6(2),,,,,,,,,,,,AC-6(2),,,,,,,,,,,,,,,,,,,,AC-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5.5,"Principle 5.4 Principle 5.8","Principle 5.5 Principle 5.9",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Privileged Accounts ,IAC-21.3,Mechanisms exist to restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.,,,Does the organization restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval?,10,Protect,,X,X,There is no evidence of a capability to restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.,"SP-CMM1 is N/A, since a structured process is required to restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes and technologies restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the assignment of privileged accounts to organization-defined personnel or roles without management approval.",,,,,,,,,,IAM-09,,,,,,,,,,5.18,,,,,,,,,,,,,,,AC-6(5),,AC-6(5),AC-6(5),AC-6(5),,,AC-6(5),AC-6(5),,,,AC-6(5),AC-6(5),,,,,,,,3.1.5,"3.1.6.a 3.1.7.a",,,,,,,A01:2021,,7.2.3,,7.2.3,,,7.2.3,,7.2.3,7.2.3,,H.2.4.1,,,,,,"ACCESS-2.F.MIL2 ACCESS-2.G.MIL2",,1.5,,,AC.L2-3.1.5,,,AC.L2-3.1.5,AC.L2-3.1.5,AC-6(5),,,,,,,,AC-6(5),,AC-6(5),AC-6(5),,AC-6(5),,AC-6(5),AC-6(5),,,,,,,,,,,,,,,,,,,,,,,AC-6(5),,,,,,,,,,,,,,,,,,,,AC-6(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5.1,Principle 5.1,Principle 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Auditing Use of Privileged Functions ,IAC-21.4,Mechanisms exist to audit the execution of privileged functions. ,,,Does the organization audit the execution of privileged functions? ,9,Detect,,,X,There is no evidence of a capability to audit the execution of privileged functions. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to audit the execution of privileged functions. ",,,,,,,,,,IAM-09,IAM-02,,,,,,,,,,,,,,,,,,,,,,,,AC-6(9),,AC-6(9),AC-6(9),AC-6(9),,,AC-6(9),AC-6(9),,,,AC-6(9),AC-6(9),,,,,,,,3.1.7,3.1.7.b,,,,,,,A01:2021,"10.2 10.2.1 10.2.2 10.2.3 10.2.4 10.2.5 10.2.6 10.2.7",10.2.1.2,,10.2.1.2,,,10.2.1.2,,10.2.1.2,10.2.1.2,,H.2.4.2,,,,,,,,,,,AC.L2-3.1.7,,,AC.L2-3.1.7,AC.L2-3.1.7,AC-6(9),,,,,,,,AC-6(9),,AC-6(9),AC-6(9),,AC-6(9),,AC-6(9),AC-6(9),,,,,,,,,,,AC-6(9),,,,,,,,,,,,AC-6(9),,,,,,,,,,,,,,,,,,,,AC-6(9),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Prohibit Non-Privileged Users from Executing Privileged Functions ,IAC-21.5,"Mechanisms exist to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures. ",,,"Does the organization prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures? ",9,Protect,,,X,"There is no evidence of a capability to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures. ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent non-privileged users from executing privileged functions to include disabling, circumventing or altering implemented security safeguards / countermeasures. ",,,,,,,,,,IAM-09,,,,,,,,,,,,,,,,,,,,,,,,,AC-6(10),,AC-6(10),AC-6(10),AC-6(10),,,AC-6(10),AC-6(10),,,,AC-6(10),AC-6(10),,,,,,,,3.1.7,3.1.7.b,"3.1.7[a] 3.1.7[b] 3.1.7[c] 3.1.7[d]",A.03.01.07.a,,,,,A01:2021,,,,,,,,,,,,H.12,,,,,,,,1.5,,,AC.L2-3.1.7,AC.L2-3.1.7,,AC.L2-3.1.7,AC.L2-3.1.7,,,,,,,,,AC-6(10) ,,AC-6(10) ,AC-6(10) ,,AC-6(10),,AC-6(10),AC-6(10),,,,,,,,,,,AC-6(10),,,,,,,,,,,,AC-6(10) ,,,,,,,,,,,,,,,,,,,,AC-6(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5.4,Principle 5.8,Principle 5.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Network Access to Privileged Commands,IAC-21.6,"Mechanisms exist to authorize remote access to perform privileged commands on critical systems or where sensitive/regulated data is stored, transmitted and/or processed only for compelling operational needs.",,,"Does the organization authorize remote access to perform privileged commands on critical systems or where sensitive/regulated data is stored, transmitted and/or processed only for compelling operational needs?",5,Protect,,X,X,"There is no evidence of a capability to authorize remote access to perform privileged commands on critical systems or where sensitive/regulated data is stored, transmitted and/ or processed only for compelling operational needs.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to authorize remote access to perform privileged commands on critical systems or where sensitive/regulated data is stored, transmitted and/ or processed only for compelling operational needs.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to authorize remote access to perform privileged commands on critical systems or where sensitive/regulated data is stored, transmitted and/ or processed only for compelling operational needs.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-6(3),,,AC-6(3),AC-6(3),,,,AC-6(3),,,,,AC-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,N.4.2,,,,,,,,,,,,,,,,,,,,,,,,AC-6(3),,,AC-6(3),,AC-6(3),,,AC-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Privilege Levels for Code Execution,IAC-21.7,Automated mechanisms exist to prevent applications from executing at higher privilege levels than the user's privileges. ,,,Does the organization use automated mechanisms to prevent applications from executing at higher privilege levels than the user's privileges? ,5,Protect,,,X,There is no evidence of a capability to prevent applications from executing at higher privilege levels than the user's privileges. ,"SP-CMM1 is N/A, since a structured process is required to prevent applications from executing at higher privilege levels than the user's privileges. ","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent applications from executing at higher privilege levels than the user's privileges. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent applications from executing at higher privilege levels than the user's privileges. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-6(8),,,,AC-6(8),,,,,AC-6(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.2.4,,,,,,,,,,,,,,,,,,,,,,,,AC-6(8),,,AC-6(8),,AC-6(8),,,AC-6(8),,,,,,,,,,,AC-6(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,Account Lockout ,IAC-22,Mechanisms exist to enforce a limit for consecutive invalid login attempts by a user during an organization-defined time period and automatically locks the account when the maximum number of unsuccessful attempts is exceeded.,,,Does the organization enforce a limit for consecutive invalid login attempts by a user during an organization-defined time period and automatically locks the account when the maximum number of unsuccessful attempts is exceeded?,9,Protect,,,X,There is no evidence of a capability to enforce a limit for consecutive invalid login attempts by a user during an organization-defined time period and automatically locks the account when the maximum number of unsuccessful attempts is exceeded.,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","Identification & Authentication (IAC) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce a limit for consecutive invalid login attempts by a user during an organization-defined time period and automatically locks the account when the maximum number of unsuccessful attempts is exceeded.",,,,4.10,,4.10,4.10,,,,,,,CR 1.11 (5.13.1),,,,,6.2.1,8.1,6.2.1,,"6.3.2 6.3.2.1",,,,"T1021, T1021.001, T1021.004, T1078.002, T1078.004, T1110, T1110.001, T1110.002, T1110.003, T1110.004, T1133, T1530, T1556, T1556.001, T1556.003, T1556.004",,,,,,,,AC-7,AC-7,AC-7,AC-7,AC-7,,AC-7,AC-7,AC-7,,,AC-7,AC-7,AC-7,,,,,,,,3.1.8,3.1.8,"3.1.8[a] 3.1.8[b]","A.03.01.08 A.03.01.08.ODP[01] A.03.01.08.ODP[02]",,,,,,"8.1.6 8.1.7",8.3.4,,8.3.4,,,8.3.4,,8.3.4,8.3.4,,H.3.12,,,,,,,TM:SG4.SP1,,5.5.3,,AC.L2-3.1.8,AC.L2-3.1.8,,AC.L2-3.1.8,AC.L2-3.1.8,AC-7,,,,,,,,AC-7 ,AC-7 ,AC-7 ,AC-7 ,AC-7 ,AC-7,AC-7,AC-7,AC-7,AC-7,,,,,,164.312(a)(2)(iii),,,,AC-7,,,8-609,,,,,,5.3,AC-7 ,AC-7 ,AC-7 ,,,,,,,,,,17.04(1)(e),,,,,,,,AC-7,AC-7,AC-7,,,§ 2447(c)(1)(A)(v),,,,,,,,,,,,,,,,,,,,4.14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1403,,,,,,,,,,,6.2.1,,,"16.1.46.C.01 16.1.46.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,MA 201 CMR 17,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Concurrent Session Control,IAC-23,Mechanisms exist to limit the number of concurrent sessions for each system account. ,,,Does the organization limit the number of concurrent sessions for each system account? ,6,Protect,,,X,There is no evidence of a capability to limit the number of concurrent sessions for each system account. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit the number of concurrent sessions for each system account. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit the number of concurrent sessions for each system account. ",,,,,,,,,,,,,,CR 2.7 (6.9.1),,,,,,,,,,,,,"T1137, T1137.002, T1185, T1528",,,,,,,,AC-10,,,AC-10,AC-10,,,,AC-10,,,,,AC-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.22,,,,,,,AM:SG1.SP1,,,,,,,,,AC-10,,,,,,,,AC-10 ,,AC-10 ,AC-10 ,,AC-10,,,AC-10,,,,,,,,,,,,,,8-609,,,,,,,,,AC-10 ,,,,,,,,,,,,,,,,,,,,AC-10,,,,,,,,,,,,,,,,,,,PSS-06,,,,4.15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Session Lock ,IAC-24,"Mechanisms exist to initiate a session lock after an organization-defined time period of inactivity, or upon receiving a request from a user and retain the session lock until the user reestablishes access using established identification and authentication methods.",,,"Does the organization initiate a session lock after an organization-defined time period of inactivity, or upon receiving a request from a user and retain the session lock until the user reestablishes access using established identification and authentication methods?",9,Protect,,,X,"There is no evidence of a capability to initiate a session lock after an organization-defined time period of inactivity, or up on receiving a request from a user and retain the session lock until the user reestablishes access using established identification and authentication methods.","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to initiate a session lock after an organization-defined time period of inactivity, or up on receiving a request from a user and retain the session lock until the user reestablishes access using established identification and authentication methods.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to initiate a session lock after an organization-defined time period of inactivity, or up on receiving a request from a user and retain the session lock until the user reestablishes access using established identification and authentication methods.",,,,4.3,4.3,4.3,4.3,,,UEM-06,,,,CR 2.5 (6.7.1),,,,,,,,,,,,,"T1021.001, T1563.002",,,,,,,,"AC-2(5) AC-11",,AC-11,"AC-2(5) AC-11","AC-2(5) AC-11",,,"AC-2(5) AC-11","AC-2(5) AC-11",,,,"AC-2(5) AC-11","AC-2(5) AC-11",,,,,,,,3.1.10,"3.1.10.a 3.1.10.b","3.1.10[a] 3.1.10[b] 3.1.10[c]","A.03.01.01.ODP[01] A.03.01.10.a A.03.01.10.b A.03.01.10.ODP[01] A.03.01.10.ODP[02]",,,,,A01:2021,,8.2.8,,8.2.8,,,8.2.8,,8.2.8,8.2.8,,M.1.46,,,8.2,,,,TM:SG4.SP1,,5.5.5,,AC.L2-3.1.10,AC.L2-3.1.10,,AC.L2-3.1.10,AC.L2-3.1.10,AC-11,,,,,,,,"AC-2(5) AC-11 ",,"AC-2(5) AC-11 ","AC-2(5) AC-11 ",,"AC-2(5) AC-11",,"AC-2(5) AC-11","AC-2(5) AC-11",,,,,,,164.312(a)(2)(iii),3.S.A,,,AC-11,,,8-609,,,,,,,,AC-11,"AC-2(5) AC-11 ",,,,,,,,,,,,,,,,,,,,"AC-2(5) AC-11",,,,,,,,,,,,,,,,,,,PSS-06,,,,4.16,,,,,,,,,,,,,TPC-2,,,2-2-1-4,,,,,,,,,,,,,,,,,,,,0428,,,,,,,,,,,,,,"16.1.45.C.01 16.1.45.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Pattern-Hiding Displays ,IAC-24.1,Mechanisms exist to implement pattern-hiding displays to conceal information previously visible on the display during the session lock. ,,,Does the organization implement pattern-hiding displays to conceal information previously visible on the display during the session lock? ,9,Protect,,,X,There is no evidence of a capability to implement pattern-hiding displays to conceal information previously visible on the display during the session lock. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement pattern-hiding displays to conceal information previously visible on the display during the session lock. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement pattern-hiding displays to conceal information previously visible on the display during the session lock. ",,,,,,,,,,UEM-06,,,,,,,,,,,,,,,,,,,,,,,,,AC-11(1),,AC-11(1),AC-11(1),AC-11(1),,,AC-11(1),AC-11(1),,,,AC-11(1),AC-11(1),,,,,,,,3.1.10,3.1.10.c,,A.03.01.10.c,,,,,A01:2021,,,,,,,,,,,,F.11.2,,,8.2,,,,,,,,AC.L2-3.1.10,,,AC.L2-3.1.10,AC.L2-3.1.10,AC-11(1),,,,,,,,AC-11(1),,AC-11(1),AC-11(1),,AC-11(1),,AC-11(1),AC-11(1),,,,,,,,,,,AC-11(1),,,,,,,,,,,,AC-11(1),,,,,,,,,,,,,,,,,,,,AC-11(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Session Termination ,IAC-25,"Automated mechanisms exist to log out users, both locally on the network and for remote sessions, at the end of the session or after an organization-defined period of inactivity. ",,,"Does the organization use automated mechanisms to log out users, both locally on the network and for remote sessions, at the end of the session or after an organization-defined period of inactivity? ",9,Protect,,,X,"There is no evidence of a capability to log out users, both locally on the network and for remote sessions, at the end of the session or after an organization-defined period of inactivity. ","Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to log out users, both locally on the network and for remote sessions, at the end of the session or after an organization-defined period of inactivity. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to log out users, both locally on the network and for remote sessions, at the end of the session or after an organization-defined period of inactivity. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1021.001, T1072, T1185, T1563.002",,,,,,,,AC-12,,AC-12,AC-12,AC-12,,,AC-12,AC-12,,,,AC-12,AC-12,,,,,,,,3.1.11,3.1.11,"3.1.11[a] 3.1.11[b]","A.03.01.11 A.03.01.11.ODP[01]",,,,,A01:2021,8.1.8,8.2.8,,8.2.8,,,8.2.8,,8.2.8,8.2.8,,U.1.4,,,8.2,,,,AM:SG1.SP1,,,,AC.L2-3.1.11,AC.L2-3.1.11,,AC.L2-3.1.11,AC.L2-3.1.11,AC-12,,,,,,,,AC-12 ,,AC-12 ,AC-12 ,,AC-12,,AC-12,AC-12,,,,,,,164.312(a)(2)(iii),3.S.A,,,AC-12,,,"8-311 8-609",,,,,,,,AC-12 ,AC-12 ,,,,,,,,,,,,,,,,,,,,AC-12,,,,,,,,,,,,,,,,,,,PSS-06,,,,,,,,,,,,,,,,,,,,2-2-1-4,,,,,,,,,,,,,,,,,,,,0853,,,,,,,,,,,,,,16.1.44.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Identification & Authentication,User-Initiated Logouts / Message Displays,IAC-25.1,Mechanisms exist to provide a logout capability and display an explicit logout message to users indicating the reliable termination of the session. ,,,Does the organization provide a logout capability and display an explicit logout message to users indicating the reliable termination of the session? ,5,Protect,,,X,There is no evidence of a capability to provide a logout capability and display an explicit logout message to users indicating the reliable termination of the session. ,"Identification & Authentication (IAC) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Identity & Access Management (IAM) is decentralized where Active Directory (AD), or a similar technology, may be used to centrally manage identities and permissions, but asset/process owners are authorized to operate a decentralized access control program for their specific systems, applications and services. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • IT personnel identify and implement IAM cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide a logout capability and display an explicit logout message to users indicating the reliable termination of the session. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide a logout capability and display an explicit logout message to users indicating the reliable termination of the session. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-12(1),,,,AC-12(1),,,,,AC-12(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.46,,,,,,,,,,,,,,,,,,,,,,,,AC-12(1),,,AC-12(1),,,,,,,,,,,,,,,,AC-12(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Permitted Actions Without Identification or Authorization,IAC-26,Mechanisms exist to identify and document the supporting rationale for specific user actions that can be performed on a system without identification or authentication.,,,Does the organization identify and document the supporting rationale for specific user actions that can be performed on a system without identification or authentication?,8,Protect,,,X,There is no evidence of a capability to identify and document the supporting rationale for specific user actions that can be performed on a system without identification or authentication.,"SP-CMM1 is N/A, since a structured process is required to identify and document the supporting rationale for specific user actions that can be performed on a system without identification or authentication.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and document the supporting rationale for specific user actions that can be performed on a system without identification or authentication.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document the supporting rationale for specific user actions that can be performed on a system without identification or authentication.",,,,,,,,,,,,,,,,,,,,,,,,,,,T1137.002,,,,,,,,AC-14,AC-14,AC-14,AC-14,AC-14,,AC-14,AC-14,AC-14,,,AC-14,AC-14,AC-14,,,,,,,,,,,,,,,,A01:2021,,,,,,,,,,,,G.3.4,,,8.9,,,,"IMC:SG1.SP1 TM:SG2.SP1 TM:SG2.SP2",,,,,,,,,AC-14,,,,,,,,AC-14,AC-14,AC-14,AC-14,AC-14,AC-14,AC-14,AC-14,AC-14,AC-14,,,,,,,,,,AC-14,,,"8-501 8-504 8-505",,,,,,,AC-14,AC-14,AC-14,,,,,,,,,,,,,,,,,,AC-14,AC-14,AC-14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Reference Monitor,IAC-27,"Mechanisms exist to implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured.",,,"Does the organization implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured?",1,Protect,,,X,"There is no evidence of a capability to implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured.","SP-CMM1 is N/A, since a structured process is required to implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Technologies are configured to implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Technologies are configured to implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a reference monitor that is tamperproof, always-invoked, small enough to be subject to analysis / testing and the completeness of which can be assured.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-25,,,,AC-25,,,,,AC-25,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.3,,,,,,,"AM:SG1.SP1 KIM:SG4.SP2 TM:SG4.SP1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identity Proofing (Identity Verification),IAC-28,Mechanisms exist to verify the identity of a user before modifying any permissions or authentication factor.,"- Professional references - Education / certification transcripts - Driver's license - Passport",,Does the organization verify the identity of a user before modifying any permissions or authentication factor?,10,Protect,,,X,There is no evidence of a capability to verify the identity of a user before modifying any permissions or authentication factor.,"SP-CMM1 is N/A, since a structured process is required to verify the identity of a user before modifying any permissions or authentication factor.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes exist to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes exist to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to verify the identity of a user before modifying any permissions or authentication factor.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to verify the identity of a user before modifying any permissions or authentication factor.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1078, T1078.002, T1078.003, T1078.004",,,,,,,,,,,,IA-12,,,IA-12,IA-12,,,,IA-12,IA-12,,,,,,,,,,,,,,,PR.AA-02,,,8.3.3,,8.3.3,,,8.3.3,,8.3.3,8.3.3,,E.1.3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-12,,IA-12,IA-12,,,,,,,164.312(d),,,,IA-12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Management Approval For New or Changed Accounts,IAC-28.1,Mechanisms exist to ensure management approvals are required for new accounts or changes in permissions to existing accounts.,,,Does the organization ensure management approvals are required for new accounts or changes in permissions to existing accounts?,10,Detect,X,X,X,There is no evidence of a capability to ensure management approvals are required for new accounts or changes in permissions to existing accounts.,"SP-CMM1 is N/A, since a structured process is required to ensure management approvals are required for new accounts or changes in permissions to existing accounts.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure management approvals are required for new accounts or changes in permissions to existing accounts.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure management approvals are required for new accounts or changes in permissions to existing accounts.",,"CC6.2-POF1 CC6.3-POF1",,,,,,,,IAM-16,,,,,,,,,,,,,,,,,,,,,,,,,"AC-24 IA-4(2)",,,,"AC-24 IA-12(1)",,,,,"AC-24 IA-12(1)",,,,IA-12(1),,AC-24,,AC-24,AC-24,AC-24,AC-24,,,,,,,,,,,,,,,,,,,,,H.2.4,,,,,,"ACCESS-2.F.MIL2 ACCESS-2.G.MIL2 ACCESS-2.H.MIL3","AM:SG1.SP1 KIM:SG2.SP2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,164.312(a)(2)(ii),,,,IA-12(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"IDM-01 IDM-02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5.1,Principle 5.1,Principle 5.1,,,"0405 1733",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identity Evidence,IAC-28.2,Mechanisms exist to require evidence of individual identification to be presented to the registration authority.,"- Driver's license - Passport",,Does the organization require evidence of individual identification to be presented to the registration authority?,5,Protect,,X,,There is no evidence of a capability to require evidence of individual identification to be presented to the registration authority.,"SP-CMM1 is N/A, since a structured process is required to require evidence of individual identification to be presented to the registration authority.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes exist to collect, validate and verify identity evidence of a user.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes exist to collect, validate and verify identity evidence of a user.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require evidence of individual identification to be presented to the registration authority.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require evidence of individual identification to be presented to the registration authority.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-12(2),,,IA-12(2),IA-12(2),,,,IA-12(2),IA-12(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.46,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-12(2),,IA-12(2),IA-12(2),,,,,,,164.312(d),,,,IA-12(2),,,,,,,,,5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Identity Evidence Validation & Verification,IAC-28.3,Mechanisms exist to require that the presented identity evidence be validated and verified through organizational-defined methods of validation and verification.,"- Employment verification - Credit check - Criminal history check - Education verification",,Does the organization require that the presented identity evidence be validated and verified through organizational-defined methods of validation and verification?,5,Protect,,X,,There is no evidence of a capability to require that the presented identity evidence be validated and verified through organizational-defined methods of validation and verification.,"SP-CMM1 is N/A, since a structured process is required to require that the presented identity evidence be validated and verified through organizational-defined methods of validation and verification.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes exist to collect, validate and verify identity evidence of a user.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes exist to collect, validate and verify identity evidence of a user.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require that the presented identity evidence be validated and verified through organizational-defined methods of validation and verification.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require that the presented identity evidence be validated and verified through organizational-defined methods of validation and verification.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-12(3),,,IA-12(3),IA-12(3),,,,IA-12(3),IA-12(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,E.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-12(3),,IA-12(3),IA-12(3),,,,,,,164.312(d),,,,IA-12(3),,,,,,,,,5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,In-Person Validation & Verification,IAC-28.4,Mechanisms exist to require that the validation and verification of identity evidence be conducted in person before a designated registration authority.,- In-person validation of government-issued photograph identification,,Does the organization require that the validation and verification of identity evidence be conducted in person before a designated registration authority?,5,Protect,,X,,There is no evidence of a capability to require that the validation and verification of identity evidence be conducted in pers on before a designated registration authority.,"SP-CMM1 is N/A, since a structured process is required to require that the validation and verification of identity evidence be conducted in pers on before a designated registration authority.","Identification & Authentication (IAC) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Logical Access Control (LAC) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for logical access control. • IT personnel: o Implement and maintain an Identity & Access Management (IAM) capability for all users to implement “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. o Govern IAM technologies via RBAC to prohibit privileged access by non-organizational users, unless there is an explicit support contract for privileged IT support services. • Active Directory (AD), or a similar technology, is primarily used to centrally manage identities and permissions with RBAC. Due to technical or business limitations, asset/process owners are empowered to operate a decentralized access control program for their specific systems, applications and services that cannot be integrated into AD. • IAM controls are primarily administrative in nature (e.g., policies & standards) to manage accounts and permissions. • Administrative processes exist to collect, validate and verify identity evidence of a user.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes exist to collect, validate and verify identity evidence of a user.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require that the validation and verification of identity evidence be conducted in pers on before a designated registration authority.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require that the validation and verification of identity evidence be conducted in pers on before a designated registration authority.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(3),,IA-5(3),IA-5(3),IA-12(4),,,,IA-12(4),,,,,IA-12(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,E.1.1,,,,,,,,,,,,,,,,IA-5(3),,,,,,,,IA-5(3),,IA-5(3),IA-5(3),,,,,,,,,,,,,,,,,,,,,,,,,5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Address Confirmation,IAC-28.5,Mechanisms exist to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).,,,Does the organization require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital)?,1,Protect,,X,,There is no evidence of a capability to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).,"SP-CMM1 is N/A, since a structured process is required to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).","SP-CMM2 is N/A, since a well-defined process is required to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes exist to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require that a notice of proofing be delivered through an out-of-band channel to verify the user's address (physical or digital).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-12(5),,,IA-12(5),IA-12(5),,,,IA-12(5),IA-12(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-12(5),,IA-12(5),IA-12(5),,,,,,,,,,,IA-12(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Identification & Authentication,Attribute-Based Access Control (ABAC) ,IAC-29,"Mechanisms exist to enforce Attribute-Based Access Control (ABAC) for policy-driven, dynamic authorizations that supports the secure sharing of information.",- NIST Special Publication 800-162 ,,"Does the organization enforce Attribute-Based Access Control (ABAC) for policy-driven, dynamic authorizations that supports the secure sharing of information?",5,Identify,,,X,"There is no evidence of a capability to enforce Attribute-Based Access Control (ABAC) for policy-driven, dynamic authorizations that supports the secure sharing of information.","SP-CMM1 is N/A, since a structured process is required to enforce Attribute-Based Access Control (ABAC) for policy-driven, dynamic authorizations that supports the secure sharing of information.","SP-CMM2 is N/A, since a well-defined process is required to enforce Attribute-Based Access Control (ABAC) for policy-driven, dynamic authorizations that supports the secure sharing of information.","Identification & Authentication (IAC) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, centrally manages permissions and implements “least privileges” Role Based Access Control (RBAC) practices for the management of user, group and system accounts, including privileged accounts. • The Human Resources (HR) department governs personnel management operations and notifies IAM personnel of personnel role changes for RBAC-based provisioning and deprovisioning actions. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data that conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • An IT infrastructure team, or similar function, ensures that statutory, regulatory and contractual cybersecurity & data privacy obligations are addressed to ensure secure configurations are designed, built and maintained. • Active Directory (AD), or a similar technology, is used to centrally manage identities and permissions. Only by exception due to a technical or business limitation are solutions authorized to operate a decentralized access control program for systems, applications and services. • Administrative processes and technologies enforce Attribute-Based Access Control (ABAC) to enable policy-driven, dynamic authorizations and support secure sharing of information ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce Attribute-Based Access Control (ABAC) for policy-driven, dynamic authorizations that supports the secure sharing of information.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce Attribute-Based Access Control (ABAC) for policy-driven, dynamic authorizations that supports the secure sharing of information.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.12.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Incident Response Operations,IRO-01,Mechanisms exist to implement and govern processes and documentation to facilitate an organization-wide response capability for cybersecurity & data privacy-related incidents.,,,Does the organization implement and govern processes and documentation to facilitate an organization-wide response capability for cybersecurity & data privacy-related incidents?,9,Protect,X,X,X,There is no evidence of a capability to implement and govern processes and documentation to facilitate an organization-wide response capability for cybersecurity & data privacy-related incidents.,"Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident responders are proficient on their specific IRP role(s) and responsibilities through recurring training events (e.g., annual rock drill). • IT personnel support incident response operations by provisioning and deprovisioning incident responders with temporary emergency accounts. • IT/cybersecurity personnel update the IRP, based on lessons learned from incidents / exercises.","Incident Response (IRO) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Incident Response (IR) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise with regards to incident response. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for incident response. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including IR. • An Integrated Security Incident Response Team (ISIRT), or similar function: o Exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. o Develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and govern processes and documentation to facilitate an organization-wide response capability for cybersecurity & data privacy-related incidents.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and govern processes and documentation to facilitate an organization-wide response capability for cybersecurity & data privacy-related incidents.","CC7.3 CC7.4","CC2.2-POF3 CC7.3-POF1 CC7.4-POF1 CC7.4-POF2 CC7.4-POF3 CC7.4-POF4 CC7.4-POF5 CC7.4-POF6 CC7.4-POF7 CC7.4-POF8 CC7.4-POF9 CC7.4-POF10 CC7.4-POF11 CC7.4-POF12 CC7.4-POF13 A1.2-POF5",,"17.0 17.5",,17.5,17.5,"DSS02.01 DSS02.02 DSS02.03 DSS02.04 DSS02.05 DSS02.06 DSS02.07",,"LOG-05 SEF-01 SEF-02",IMT-01,"SO16 SO18",1.2.7,FR 6 (10.1),"RC-05-15 RQ-08-03 RQ-08-04",,,,16.1.1 ,5.24,16.1.1 ,,"6.13 6.13.1 6.13.1.1",,,,,"OR-4.0 TS-1.4",Sec 4(H)(1),GOVERN 6.2,,,,,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,,,IR-1,IR-1,IR-1,,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,NFO - IR-1,"3.6.1.a 3.6.1.b 3.6.1.c 3.6.2.a 3.6.2.b 3.6.2.c 3.6.2.d 3.10.2.a","3.6.1[a] 3.6.1[b] 3.6.1[c] 3.6.1[d] 3.6.1[e] 3.6.1[f]",A.03.06.01.b[01],,,PR.IP-9,"DE.AE RS.MA RS.AN RS.CO RS.MI RC.RP RC.CO",,,"10.7 10.7.1 10.7.2 10.7.3 12.10 A3.5",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,J.2,"6.1 6.2 6.3 7.1","1.6 1.6.1 8.4.1",,,,"SITUATION-3.G.MIL3 RESPONSE-1.A.MIL1 RESPONSE-1.B.MIL2 RESPONSE-1.C.MIL2 RESPONSE-2.A.MIL1 RESPONSE-2.B.MIL1 RESPONSE-2.C.MIL2 RESPONSE-2.D.MIL2 RESPONSE-2.E.MIL2 RESPONSE-2.F.MIL2 RESPONSE-2.G.MIL2 RESPONSE-2.H.MIL3 RESPONSE-2.I.MIL3 RESPONSE-3.A.MIL1 RESPONSE-3.B.MIL1 RESPONSE-3.C.MIL1 RESPONSE-3.D.MIL2 RESPONSE-3.E.MIL2 RESPONSE-3.F.MIL2",,7.1,"5.3 5.3.2 5.13.5",,,,,,,IR-1,,,,,,,,IR-1 ,IR-1 ,IR-1 ,IR-1 ,IR-1 ,IR-1,IR-1,IR-1,IR-1,IR-1,,D5.IR.Pl.B.1,,,"314.4(h) 314.4(h)(1) 314.4(h)(2) 314.4(h)(3) 314.4(h)(4) 314.4(h)(5) 314.4(h)(6) 314.4(h)(7)","164.308(a)(6) 164.308(a)(6)(i) 164.308(a)(6)(ii)","8.S.A 10.S.A","8.M.A 8.M.B","8.M.A 8.M.B 8.L.C 9.L.B","1.8.4 IR-1",,"CIP-008-5 R1","8-101 8-103","8.1 8.2 8.3 8.4",,,"17 CFR 229.106(C)(1)(i) FORM 8-K ITEM 1.05(a)",,"5.6 5.9",IR-1 ,IR-1 ,IR-1 ,III.D.2.d,,,,,,,,,,,500.16,,,38-99-20(H)(1),,Sec 8,IR-1,IR-1,IR-1,,,"§ 2447(b)(10) § 2447(b)(10)(A)","3.5.1(59) 3.5.1(60) 3.5.1(60)(a) 3.5.1(60)(b) 3.5.1(60)(c) 3.5.1(60)(d) 3.5.1(60)(d)(i) 3.5.1(60)(d)(ii) 3.5.1(60)(e) 3.5.1(60)(f) 3.5.1(60)(f)(i) 3.5.1(60)(f)(ii)","Art 9.4(b) Art 14.1 Art 14.2 Art 14.3 Art 17.1 Art 17.2 Art 17.3(a) Art 17.3(b) Art 17.3(c) Art 17.3(d) Art 17.3(e) Art 17.3(f)",,"Art 32.1 Art 32.2",Article 21.2(b),,,"Sec 14 Sec 15",Art 16,,,,,,4.7,SIM-01,,,,24.1,,,,,,,,,,,,,"TPC-23 TPC-88 TPC-89",3.3.15,"2-13-1 2-13-2 2-13-3 2-13-3-2 2-13-4","2-12 2-12-1 2-12-2",,,"Sec 19.1 Sec 19.3 Sec 22",,7.3.7 [OP.EXP.7],,,,,"A4.a D1.a D1.b",,,,,,,,,,"1618 0137 1609",,32,"23 24",,,,,,,,16.1.1,,12.1,"7.1.7.C.01 7.1.7.C.02 7.1.7.C.03 7.2.18.C.01",,,,,"7.7.1 7.7.2 7.7.3(a) 7.7.3(b) 7.7.3(c) 7.7.4 7.7.5 7.7.6 7.7.7",,,,,,"6.1 6.3 6.4",,"1.3 5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8","2.7 3.4.2 3.4.3 3.4.4 3.4.5",,,,,,,,,,,x,NAIC,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Incident Response,Incident Handling ,IRO-02,"Mechanisms exist to cover the preparation, automated detection or intake of incident reporting, analysis, containment, eradication and recovery.",- ITIL Infrastructure Library - Incident and problem management,E-IRO-03,"Does the organization cover the preparation, automated detection or intake of incident reporting, analysis, containment, eradication and recovery?",10,Respond,X,X,,"There is no evidence of a capability to cover the preparation, automated detection or intake of incident reporting, analysis, containment, eradication and recovery.","Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident responders are proficient on their specific IRP role(s) and responsibilities through recurring training events (e.g., annual rock drill). • IT personnel support incident response operations by provisioning and deprovisioning incident responders with temporary emergency accounts. • IT/cybersecurity personnel update the IRP, based on lessons learned from incidents / exercises.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to cover the preparation, automated detection or intake of incident reporting, analysis, containment, eradication and recovery.","CC7.3 CC7.4","CC2.2-POF3 CC2.2-POF6 CC2.3-POF11 CC7.3-POF1 CC7.3-POF3 CC7.3-POF4 CC7.3-POF5 CC7.4-POF1 CC7.4-POF2 CC7.4-POF3 CC7.4-POF4 CC7.4-POF5 CC7.4-POF6 CC7.4-POF7 CC7.4-POF8 CC7.4-POF9 CC7.4-POF10 CC7.4-POF11 CC7.4-POF12 CC7.4-POF13 A1.2-POF5",,"2.3 17.0 17.1 17.3 17.4 17.5 17.6 17.7 17.9","2.3 17.1 17.3","2.3 17.1 17.3 17.4 17.5 17.6 17.7","2.3 17.1 17.3 17.4 17.5 17.6 17.7 17.9","DSS02.01 DSS02.02 DSS02.03 DSS02.04 DSS02.05 DSS02.06 DSS02.07",,"LOG-05 SEF-03 SEF-06","IAM-08 IAM-09 IAM-11 IMT-01 MON-02",,1.2.7,FR 6 (10.1),"RC-05-15 RQ-08-03 RQ-08-04 RQ-08-08 RQ-13-01.a RQ-13-01.b RQ-13-01.c RQ-13-01.d RQ-13-01.e RQ-13-01.f RQ-13-01.g RQ-13-02",,,,"16.1.3 16.1.4 16.1.5","5.24 5.25 5.26 6.8","16.1.3 16.1.4 16.1.5",,6.13.1.4,,,,,"OR-4.0 TS-1.4","Sec 5(A) Sec 5(B)(1) Sec 5(B)(2) Sec 5(B)(3) Sec 5(B)(4)",GOVERN 6.2,"GV.MT-P4 GV.MT-P5",,,,IR-4,IR-4,IR-4,IR-4,IR-4,IR-4,IR-4,IR-4,IR-4,,,IR-4,IR-4,IR-4,,,,,,,,"3.6.1 3.6.2","3.3.4.a 3.3.4.b 3.3.5.b 3.6.1.b 3.6.2.a 3.6.2.b 3.6.2.c 3.6.2.d 3.10.2.a","3.6.1[a] 3.6.1[b] 3.6.1[c] 3.6.1[d] 3.6.1[e] 3.6.1[f] 3.6.1[g] 3.6.2[a] 3.6.2[b] 3.6.2[c] 3.6.2[d] 3.6.2[e] 3.6.2[f]","A.03.06.01.b[01] A.03.06.01.b[02] A.03.06.01.b[03] A.03.06.01.b[04] A.03.06.01.b[05] A.03.06.01.b[06]",,,"DE.AE-2 DE.AE-4 DE.AE-5 RS.AN-1 RS.AN-2 RS.AN-4 RS.MI-1 RS.MI-2 RS.RP-1 RC.CO-1 RC.CO-2 RC.CO-3","DE.AE-02 DE.AE-04 DE.AE-06 DE.AE-07 DE.AE-08 RS.MA-01 RS.MA-02 RS.MA-03 RS.MA-04 RS.MA-05 RS.AN-03 RS.AN-08 RS.MI-01 RS.MI-02 RC.RP-01 RC.RP-02 RC.RP-03 RC.RP-04 RC.RP-05 RC.RP-06 RC.CO-03 RC.CO-04",,"12.5.3 12.10","12.10 12.10.5 A3.3.1.2",,,,,,,12.10.5,12.10.5,,J.2.9,"6.1 6.2 6.3 7.1","1.6.1 8.4.1",,,,"SITUATION-3.G.MIL3 RESPONSE-1.A.MIL1 RESPONSE-1.B.MIL2 RESPONSE-1.C.MIL2 RESPONSE-2.A.MIL1 RESPONSE-2.B.MIL1 RESPONSE-2.C.MIL2 RESPONSE-2.D.MIL2 RESPONSE-2.E.MIL2 RESPONSE-2.F.MIL2 RESPONSE-2.G.MIL2 RESPONSE-2.H.MIL3 RESPONSE-2.I.MIL3 RESPONSE-3.A.MIL1 RESPONSE-3.B.MIL1 RESPONSE-3.C.MIL1 RESPONSE-3.D.MIL2 RESPONSE-3.E.MIL2 RESPONSE-3.F.MIL2","IMC:SG1.SP1 IMC:SG1.SP2 IMC:SG2.SP1 IMC:SG2.SP2 IMC:SG2.SP3 IMC:SG2.SP4 IMC:SG3.SP1 IMC:SG3.SP2 IMC:SG4.SP1 IMC:SG4.SP2 IMC:SG4.SP3 IMC:SG4.SP4 IMC:SG5.SP1 IMC:SG5.SP2",7.1,"5.3.1 5.3.1.1 5.3.1.1.1 5.3.1.1.2 5.3.2 5.3.2.1 5.3.2.2",,"IR.L2-3.6.1 IR.L2-3.6.2","IR.L2-3.6.1 IR.L2-3.6.2",,"IR.L2-3.6.1 IR.L2-3.6.2","IR.L2-3.6.1 IR.L2-3.6.2",IR-4,,,,,,,,IR-4 ,IR-4 ,IR-4 ,IR-4 ,IR-4 ,IR-4,IR-4,IR-4,IR-4,IR-4,,"D5.IR.Pl.Int.4 D5.IR.Te.E.1 D5.ER.Es.E.1 D1.RM.RMP.A.4 D5.DR.De.B.1 D3.DC.An.E.4 D3.DC.An.Int.3 D5.IR.Pl.B.1 D5.DR.De.B.3 D5.DR.De.Int.3 D5.ER.Es.B.4 D5.DR.Re.E.1 D5.DR.Re.B.1 D5.DR.Re.E.4 D5.DR.Re.E.2 D5.DR.Re.E.3 D5.DR.De.B.1 D5.DR.Re.E.3 D3.PC.Im.E.4",,,"314.4(h) 314.4(h)(1) 314.4(h)(2) 314.4(h)(3) 314.4(h)(4) 314.4(h)(5) 314.4(h)(6) 314.4(h)(7)",,8.S.A,"8.M.A 8.M.B","8.M.A 8.M.B 2.L.D",IR-4,,,"1-303 4-218","8.1 8.2 8.3 8.4",,,"17 CFR 229.106(C)(1)(i) FORM 8-K ITEM 1.05(a)",,"5.6 5.9",IR-4 ,IR-4 ,IR-4 ,III.D.2.d,,,,,,,,,,,,,,"38-99-30(A) 38-99-30(B)(1) 38-99-30(B)(2) 38-99-30(B)(3) 38-99-30(B)(4)",,Sec 8,IR-4,IR-4,IR-4,Sec 11.175(e),,"§ 2447(b)(10) § 2447(b)(10)(A)","3.5.1(59) 3.5.1(60) 3.5.1(60)(a) 3.5.1(60)(b) 3.5.1(60)(c) 3.5.1(60)(d) 3.5.1(60)(d)(i) 3.5.1(60)(d)(ii) 3.5.1(60)(e) 3.5.1(60)(f) 3.5.1(60)(f)(i) 3.5.1(60)(f)(ii)","Art 9.4(b) Art 14.1 Art 14.2 Art 14.3 Art 18.1 Art 18.1(a) Art 18.1(b) Art 18.1(c) Art 18.1(d) Art 18.1(e) Art 18.1(f) Art 18.2",,,Article 21.2(b),,,,,,,,,,4.7,SIM-02,,,,"7.2 24.2",,,,,,,,,,,,,"TPC-23 TPC-88 TPC-89",,2-13-3-2,"2-12-2-1 2-12-2-2 2-12-2-3 2-12-2-4 2-12-2-5 2-12-2-6 2-12-2-7 2-12-2-8",,,,,"7.3.7 [OP.EXP.7] 7.3.9 [OP.EXP.9]",,,,,"A4.a B6.a D1.a D1.b",,,,,,,,,,"1618 0917 0123 0141 1803",,32,"23 24",,,"Article 57 Article 57(1) Article 57(2) Article 57(3)",,,,,"16.1.3 16.1.4 16.1.5",,,"5.7.4.C.01 7.2.17.C.01 7.2.17.C.02 7.2.18.C.01 7.2.19.C.01 7.3.9.C.01 7.3.10.C.01",,,,,"7.7.3(a) 7.7.3(b) 7.7.3(c)",,,,,,,Art 48,,"2.7.1 2.7.2 2.7.3 3.3.3 3.4.2 3.4.3 3.4.4 3.4.5",,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Incident Response,Automated Incident Handling Processes,IRO-02.1,Automated mechanisms exist to support the incident handling process. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization use automated mechanisms to support the incident handling process? ,1,Respond,,X,X,There is no evidence of a capability to support the incident handling process. ,"SP-CMM1 is N/A, since a structured process is required to support the incident handling process. ","SP-CMM2 is N/A, since a well-defined process is required to support the incident handling process. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to support the incident handling process. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to support the incident handling process. ",,,,,,,,,,,IAM-08,,,,,,,,,,,,,,,,,,,,,,,,"IR-4(1) SI-4(7)",,IR-4(1),IR-4(1),"IR-4(1) SI-4(7)",,,IR-4(1),IR-4(1),SI-4(7),,,IR-4(1),IR-4(1),,,,,,,,,,,,3.14.2e,,,,,,,,,,,,,,,,J.3.2,,,,,,,,,,,,TBD - 3.14.2e,,,,IR-4(1),,,,,,,,IR-4(1) ,,IR-4(1) ,IR-4(1) ,,IR-4(1),,IR-4(1),IR-4(1),,,,,,,,,,,IR-4(1),,,,,,,,,,,,IR-4(1) ,,,,,,,,,,,,,,,,,,,,IR-4(1),,,,,Art 9.4(b),,,,,,,,,,,,,,,,,,24.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Incident Response,Insider Threat Response Capability,IRO-02.2,Mechanisms exist to implement and govern an insider threat program. ,,,Does the organization implement and govern an insider threat program? ,5,Protect,X,X,X,There is no evidence of a capability to implement and govern an insider threat program. ,"SP-CMM1 is N/A, since a structured process is required to implement and govern an insider threat program. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and govern an insider threat program. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-4(6),,,,"IR-4(6) IR-4(7)",,,,,IR-4(6),,,,,,"IR-4(6) IR-4(7)",,,"IR-4(6) IR-4(7)","IR-4(6) IR-4(7)","IR-4(6) IR-4(7)",,,,,,,,,,,,,,,,,,,,,L.17,,,,,,,,,,,,,,,,,,,Red Flags Rule ,,,,,IR-4(6),,,IR-4(6),,IR-4(6),,,IR-4(6),,,,S-ID (17 CFR §248.201-202),,,,,,,IR-4(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1625 1626",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Dynamic Reconfiguration,IRO-02.3,Automated mechanisms exist to dynamically reconfigure information system components as part of the incident response capability. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization use automated mechanisms to dynamically reconfigure information system components as part of the incident response capability? ,5,Respond,,,X,There is no evidence of a capability to dynamically reconfigure information system components as part of the incident response capability. ,"SP-CMM1 is N/A, since a structured process is required to dynamically reconfigure information system components as part of the incident response capability. ","SP-CMM2 is N/A, since a well-defined process is required to dynamically reconfigure information system components as part of the incident response capability. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to dynamically reconfigure information system components as part of the incident response capability. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to dynamically reconfigure information system components as part of the incident response capability. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-4(2),,,,IR-4(2),,,,,IR-4(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.9,,,,,,,,,,,,,,,,,,,,,,,,IR-4(2),,,IR-4(2),,IR-4(2),,,IR-4(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-IR-3",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,,,,,,,,,,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Incident Response,Incident Classification & Prioritization,IRO-02.4,Mechanisms exist to identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.,,,Does the organization identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions?,5,Respond,X,X,,There is no evidence of a capability to identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.,"Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify classes of incidents and actions to take to ensure the continuation of organizational missions and business functions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 6.2,,,,,IR-4(3),,,,IR-4(3),,,,,IR-4(3),,,,,,,,,,,,,,,,,,,"DE.AE-08 RS.MA-03 RS.AN-08",,,12.10,,,,,,,,,,J.2.17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17 CFR 229.106(C)(1)(i) FORM 8-K ITEM 1.05(a)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Correlation with External Organizations,IRO-02.5,Mechanisms exist to coordinate with approved third-parties to achieve a cross-organization perspective on incident awareness and more effective incident responses. ,,,Does the organization coordinate with approved third-parties to achieve a cross-organization perspective on incident awareness and more effective incident responses? ,5,Respond,,X,,There is no evidence of a capability to coordinate with approved third-parties to achieve a cross-organization perspective on incident awareness and more effective incident responses. ,"SP-CMM1 is N/A, since a structured process is required to coordinate with approved third-parties to achieve a cross-organization perspective on incident awareness and more effective incident responses. ","SP-CMM2 is N/A, since a well-defined process is required to coordinate with approved third-parties to achieve a cross-organization perspective on incident awareness and more effective incident responses. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to coordinate with approved third-parties to achieve a cross-organization perspective on incident awareness and more effective incident responses. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate with approved third-parties to achieve a cross-organization perspective on incident awareness and more effective incident responses. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-4(8),,,,IR-4(8),,,,,IR-4(8),,,,,,,,,,,,,,,,,,,"GV.SC-08 DE.AE-03",,,,,,,,,,,,,K.3.1,,,,,,RESPONSE-1.D.MIL3,,,,,,,,,,,,,,,,,,IR-4(8),,,IR-4(8),,,,,,,,,,,,,,,,IR-4(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,OPS-21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.3.10.C.01,,,,,,,,,,,,,3.6,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Automatic Disabling of System,IRO-02.6,"Mechanisms exist to automatically disable systems, upon detection of a possible incident that meets organizational criteria, which allows for forensic analysis to be performed.",,,"Does the organization automatically disable systems, upon detection of a possible incident that meets organizational criteria, which allows for forensic analysis to be performed?",6,Respond,,X,X,"There is no evidence of a capability to automatically disable systems, up on detection of a possible incident that meets organizational criteria, which allows for forensic analysis to be performed.","SP-CMM1 is N/A, since a structured process is required to automatically disable systems, up on detection of a possible incident that meets organizational criteria, which allows for forensic analysis to be performed.","SP-CMM2 is N/A, since a well-defined process is required to automatically disable systems, up on detection of a possible incident that meets organizational criteria, which allows for forensic analysis to be performed.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to automatically disable systems, up on detection of a possible incident that meets organizational criteria, which allows for forensic analysis to be performed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to automatically disable systems, up on detection of a possible incident that meets organizational criteria, which allows for forensic analysis to be performed.",,,,,,,,,,,IAM-08,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-4(5),,,,,IR-4(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 9.4(b),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.13 4.15",,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-IR-3",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,,,,,,,,,,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Indicators of Compromise (IOC),IRO-03,Mechanisms exist to define specific Indicators of Compromise (IOC) to identify the signs of potential cybersecurity events.,"- Indicators of Compromise (IoC) - Incident Response Plan (IRP) - Strake (https://9yahds.com/) - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",E-IRO-02,Does the organization define specific Indicators of Compromise (IOC) to identify the signs of potential cybersecurity events?,8,Respond,,X,X,There is no evidence of a capability to define specific Indicators of Compromise (IOC) to identify the signs of potential cybersecurity events.,"Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define specific Indicators of Compromise (IOC) to identify the signs of potential cybersecurity events.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define specific Indicators of Compromise (IOC) to identify the signs of potential cybersecurity events.",,,,,,,,DSS02.01,,,"IAM-09 MON-02 MON-09",,,,RQ-08-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RS.AN-2,DE.AE-07,,,,,,,,,,,,,J.3,,,,,,"SITUATION-2.D.MIL2 SITUATION-2.E.MIL2 SITUATION-2.F.MIL2 SITUATION-2.G.MIL3 SITUATION-2.H.MIL3 SITUATION-2.I.MIL3 RESPONSE-1.D.MIL3 RESPONSE-1.E.MIL3 RESPONSE-1.F.MIL3",,,5.3.4,,,,,,,,,,,,,,,,,,,,,,,,,,"D1.RM.RMP.A.4 D5.IR.Te.E.1 D5.ER.Es.E.1",,,,,,"8.M.A 8.M.B","8.M.A 8.M.B",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.4,,,,,,,,,,,,,,,,,,,,,2-3-1-12,,,,,,,,,,"C1.a C2.a",,,,,,,,,,,,,,,,,,,,,,,,"7.2.17.C.01 7.2.17.C.02",,,,,,,,,,,,,,3.3.2,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Incident Response Plan (IRP) ,IRO-04,Mechanisms exist to maintain and make available a current and viable Incident Response Plan (IRP) to all stakeholders.,"- Incident Response Plan (IRP) - Hard copy of IRP",E-IRO-01,Does the organization maintain and make available a current and viable Incident Response Plan (IRP) to all stakeholders?,9,Respond,X,X,X,There is no evidence of a capability to maintain and make available a current and viable Incident Response Plan (IRP) to all stakeholders.,"SP-CMM1 is N/A, since a structured process is required to maintain and make available a current and viable Incident Response Plan (IRP) to all stakeholders.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • IT/cybersecurity personnel update the IRP, based on lessons learned from incidents / exercises.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain and make available a current and viable Incident Response Plan (IRP) to all stakeholders.","CC7.3 CC7.4","CC7.3-POF1 CC7.4-POF1 CC7.4-POF2 CC7.4-POF3 CC7.4-POF4 CC7.4-POF5 CC7.4-POF6 CC7.4-POF7 CC7.4-POF8 CC7.4-POF9 CC7.4-POF10 CC7.4-POF11 CC7.4-POF12 CC7.4-POF13",,"17.1 17.4 17.5 17.6 17.7 17.9",17.1,"17.1 17.4 17.5 17.6 17.7","17.1 17.4 17.5 17.6 17.7 17.9","DSS02.01 DSS02.05",,"LOG-05 SEF-03","IAM-09 IMT-01",SO16,1.2.7,,RQ-13-02,,,,16.1.5,"5.24 5.26",16.1.5,,6.13.1.5,,,,,OR-4.0,"Sec 4(H)(1) Sec 4(H)(2)(a) Sec 4(H)(2)(b) Sec 4(H)(2)(c) Sec 4(H)(2)(d) Sec 4(H)(2)(e) Sec 4(H)(2)(f) Sec 4(H)(2)(g)","GOVERN 6.2 MANAGE 4.0",PR.PO-P7,,,,IR-8,IR-8,IR-8,IR-8,IR-8,IR-8,IR-8,IR-8,IR-8,,,IR-8,IR-8,IR-8,,IR-8,IR-8,IR-8,,IR-8,IR-8,NFO - IR-8,"3.6.1.a 3.6.1.b",,A.03.06.01.a,,,"PR.IP-9 RS.AN-4 RS.RP-1","RS.MA-01 RS.MA-05",,"12.8.3 12.10 12.10.1 12.10.2 12.10.3 12.10.4 12.10.5 12.10.6","12.10 12.10.1 12.10.5 12.10.7",12.10.1,12.10.1,12.10.1,12.10.1,12.10.1,12.10.1,"12.10.1 12.10.5 12.10.7","12.10.1 12.10.5 12.10.7",12.10.1,J.2.1,7.1,1.6.1,,,,"SITUATION-3.G.MIL3 RESPONSE-1.A.MIL1 RESPONSE-1.B.MIL2 RESPONSE-1.C.MIL2 RESPONSE-2.A.MIL1 RESPONSE-2.B.MIL1 RESPONSE-2.C.MIL2 RESPONSE-2.D.MIL2 RESPONSE-2.E.MIL2 RESPONSE-2.F.MIL2 RESPONSE-2.G.MIL2 RESPONSE-2.H.MIL3 RESPONSE-2.I.MIL3 RESPONSE-3.A.MIL1 RESPONSE-3.B.MIL1 RESPONSE-3.C.MIL1 RESPONSE-3.D.MIL2 RESPONSE-3.E.MIL2 RESPONSE-3.F.MIL2 RESPONSE-1.I.MIL3","IMC:SG1.SP1 IMC:SG1.SP2",7.2,"5.3.1 5.3.2 5.3.2.1 5.3.2.2",,,,,,,IR-8,,,,,,,,IR-8 ,IR-8 ,IR-8 ,IR-8 ,IR-8 ,IR-8,IR-8,IR-8,IR-8,IR-8,,,,,"314.4(h) 314.4(h)(1) 314.4(h)(2) 314.4(h)(3) 314.4(h)(4) 314.4(h)(5) 314.4(h)(6) 314.4(h)(7)",,8.S.A,"8.M.A 8.M.B","8.M.A 8.M.B","1.8.4 1.8.5 IR-8",,,"8-103 1-302","8.1 8.2 8.3 8.4",,,"17 CFR 229.106(C)(1)(i) FORM 8-K ITEM 1.05(a)",,5.9,IR-8 ,IR-8 ,IR-8 ,,,,,,,,,,,,500.16,,622(2)(d)(B)(iii),"38-99-20(H)(1) 38-99-20(H)(2)(a) 38-99-20(H)(2)(b) 38-99-20(H)(2)(c) 38-99-20(H)(2)(d) 38-99-20(H)(2)(e) 38-99-20(H)(2)(f) 38-99-20(H)(2)(g)",,,IR-8,IR-8,IR-8,,,"§ 2447(b)(10) § 2447(b)(10)(A)","3.5.1(59) 3.5.1(60) 3.5.1(60)(a) 3.5.1(60)(b) 3.5.1(60)(c) 3.5.1(60)(d) 3.5.1(60)(d)(i) 3.5.1(60)(d)(ii) 3.5.1(60)(e) 3.5.1(60)(f) 3.5.1(60)(f)(i) 3.5.1(60)(f)(ii)","Art 17.1 Art 17.2 Art 17.3(a) Art 17.3(b) Art 17.3(c) Art 17.3(d) Art 17.3(e) Art 17.3(f)",,,,,,,,,,,,,,,,,,"7.2 24.2 24.3 24.8 24.9",,,,,,,,,,,,,"TPC-23 TPC-88",,"2-13-3-1 2-13-3-2","2-12-2-2 2-12-2-3 2-12-2-4 2-12-2-5",,,,,,,,,,D1.a,,,,,,,,,,"0043 0917 1784",,,"23 24 25(a) 25(b)",,,"Article 57 Article 57(1) Article 57(2) Article 57(3)",,,,,16.1.5,,,"5.1.12.C.01 5.1.12.C.02 5.6.3.C.01 5.6.3.C.02 7.2.18.C.01 7.3.5.C.01 7.3.9.C.01 7.3.10.C.01 16.1.47.C.01",,,,,"7.7.3(a) 7.7.3(b) 7.7.3(c) 12.3.1 12.3.2 12.3.3",Art 34,,,,,6.4,,"5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8","2.7.2 2.7.3 3.3.3 3.4.2 3.4.3 3.4.4 3.4.3 3.4.5",,,,,,,,,,,x,"NAIC OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Data Breach,IRO-04.1,"Mechanisms exist to address data breaches, or other incidents involving the unauthorized disclosure of sensitive or regulated data, according to applicable laws, regulations and contractual obligations. ",,,"Does the organization address data breaches, or other incidents involving the unauthorized disclosure of sensitive or regulated data, according to applicable laws, regulations and contractual obligations? ",8,Respond,X,X,X,"There is no evidence of a capability to address data breaches, or other incidents involving the unauthorized disclosure of sensitive or regulated data, according to applicable laws, regulations and contractual obligations. ","SP-CMM1 is N/A, since a structured process is required to address data breaches, or other incidents involving the unauthorized disclosure of sensitive or regulated data, according to applicable laws, regulations and contractual obligations. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to address data breaches, or other incidents involving the unauthorized disclosure of sensitive or regulated data, according to applicable laws, regulations and contractual obligations. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address data breaches, or other incidents involving the unauthorized disclosure of sensitive or regulated data, according to applicable laws, regulations and contractual obligations. ","CC7.3 P6.3 P6.6 P6.7","CC7.3-POF4 CC7.3-POF5 P6.6-POF2",,,,,,,,,,,"1.2.7 7.2.4",,,,,,,5.25,,A.9.1,,,,,,,,,"GV.MT-P4 GV.MT-P5",,,,SE-2,,,,IR-8(1),IR-8(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.19,,,,,,,"IMC:SG1.SP1 IMC:SG4.SP2",,,,,,,,,SE-2,,"252.204-7012(c)(1)(i) 252.204-7012(c)(1)(ii) 252.204-7012(c)(2) 252.204-7012(c)(3) 252.204-7012(d) 252.204-7012(e) 252.204-7012(f) 252.204-7012(g) 252.204-7012(h)",,,,,,,,,,,,,,,,,,,,,,,,,"1.8.3 IR-8(1)",,,,"8.1 8.2 8.3 8.4",,,,,5.6,,,,,,,,,,,,"Sec 10(a) Sec 10(a)(1)(A) Sec 10(a)(1)(B) Sec 10(a)(1)(C) Sec 10(a)(2) Sec 10(b) Sec 10(c)(1) Sec 10(c)(2) Sec 10(c)(3) Sec 10(d) Sec 10(e)(1) Sec 10(e)(2) Sec 10(e)(2)(A) Sec 10(e)(2)(B) Sec 10(e)(2)(C)",,,,"Sec 3(2) Sec 3(2)(a) Sec 3(2)(b)(i) Sec 3(2)(b)(ii) Sec 3(2)(b)(iii) Sec 3(2)(b)(iv) Sec 3(3) Sec 3(5)(a) Sec 3(5)(b) Sec 3(5)(c) Sec 3(5)(d) Sec 3(5)(d)(1) Sec 3(5)(d)(2) Sec 3(5)(d)(3) Sec 3(7) Sec 3(8)(a) Sec 3(8)(b) Sec 3(9)",,,Sec. 521.053,Sec 8,,,,,,,,,,"Art 33.1 Art 33.2 Art 33.3 Art 33.4 Art 33.5",,,,,,"Art 8 Art 17",,,,,,SIM-02,,,,,,,"43(1)(b) 43(2) 43(3) 43(4) 43(5) 43(5)(a) 43(5)(b) 43(5)(c) 43(5)(d) 43(5)(e) 43(6) 43(7) 43(8)(a) 43(8)(b) 43(8)(c)",Art 3,,,,,,Article 14,,,,,,,"Article 53 Article 53.1 Article 53.2 Article 53.3",,Sec 22,,,,Art 12,,,,,,Chapter29-Schedule1-Part1-Principles 7,"Article 33(1) Article 33(2) Article 33(3)(a) Article 33(3)(b) Article 33(3)(c) Article 33(3)(d) Article 33(4) Article 33(5) Article 34(1) Article 34(2) Article 34(3)(a) Article 34(3)(b) Article 34(3)(c) Article 33(4)",,,,,,,,,,,,"Article 57 Article 57(1) Article 57(2) Article 57(3)",,,,"Article 22-2(1) Article 22-2(2)",,,,,,Sec 38,,,,Art 34,Art 12,,,,,Art 48,,,,,,,Art 20,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Incident Response,IRP Update,IRO-04.2,"Mechanisms exist to regularly review and modify incident response practices to incorporate lessons learned, business process changes and industry developments, as necessary.",,E-IRO-07,"Does the organization regularly review and modify incident response practices to incorporate lessons learned, business process changes and industry developments, as necessary?",8,Respond,X,X,X,"There is no evidence of a capability to regularly review and modify incident response practices to incorporate lessons learned, business process changes and industry developments, as necessary.","SP-CMM1 is N/A, since a structured process is required to regularly review and modify incident response practices to incorporate lessons learned, business process changes and industry developments, as necessary.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Regularly update incident response strategies to keep current with business needs, technology changes and regulatory requirements. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Regularly update incident response strategies to keep current with business needs, technology changes and regulatory requirements. ","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to regularly review and modify incident response practices to incorporate lessons learned, business process changes and industry developments, as necessary.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,,,IR-1,IR-1,IR-1,,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,NFO - IR-1,"3.6.1.c 3.6.4.b",,A.03.06.01.c,,,RS.IM-2,,,,"12.10.2 12.10.6",,,,,,,"12.10.2 12.10.6","12.10.2 12.10.6",,J.1.7,,,,,,,,,,,,,,,,IR-1,,,,,,,,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,,"D5.IR.Pl.Int.4 D5.IR.Te.Int.5",,,314.4(h)(7),,,,,IR-1,,"CIP-008-5 R3","8-101 8-103",,,,,,,IR-1 ,IR-1 ,IR-1 ,,,,,,,,,,,,,,,,,,IR-1,IR-1,IR-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.9,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Continuous Incident Response Improvements,IRO-04.3,"Mechanisms exist to use qualitative and quantitative data from incident response testing to: ▪Determine the effectiveness of incident response processes; ▪Continuously improve incident response processes; and ▪Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.",,,"Does the organization use qualitative and quantitative data from incident response testing to: ▪Determine the effectiveness of incident response processes; ▪Continuously improve incident response processes; and ▪Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format?",3,Identify,,X,,"There is no evidence of a capability to use qualitative and quantitative data from incident response testing to: ▪Determine the effectiveness of incident response processes; ▪Continuously improve incident response processes; and ▪Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.","SP-CMM1 is N/A, since a structured process is required to use qualitative and quantitative data from incident response testing to: ▪Determine the effectiveness of incident response processes; ▪Continuously improve incident response processes; and ▪Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.","SP-CMM2 is N/A, since a well-defined process is required to use qualitative and quantitative data from incident response testing to: ▪Determine the effectiveness of incident response processes; ▪Continuously improve incident response processes; and ▪Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to use qualitative and quantitative data from incident response testing to: ▪Determine the effectiveness of incident response processes; ▪Continuously improve incident response processes; and ▪Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to use qualitative and quantitative data from incident response testing to: ▪Determine the effectiveness of incident response processes; ▪Continuously improve incident response processes; and ▪Provide incident response measures and metrics that are accurate, consistent, and in a reproducible format.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-3(3),,,,,IR-3(3),,,,,,,,,,,,,"3.6.1.c 3.6.4.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-3(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Incident Response Training ,IRO-05,Mechanisms exist to train personnel in their incident response roles and responsibilities.,"- ITIL Infrastructure Library - Incident and problem management - Incident Response Plan (IRP) - Strake (https://9yahds.com/)","E-IRO-05 E-IRO-06",Does the organization train personnel in their incident response roles and responsibilities?,9,Respond,,X,X,There is no evidence of a capability to train personnel in their incident response roles and responsibilities.,"Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident responders are proficient on their specific IRP role(s) and responsibilities through recurring training events (e.g., annual rock drill). • IT/cybersecurity personnel update the IRP, based on lessons learned from incidents / exercises.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to ensure incident response training material provides coverage for sensitive/regulated data spillage response.","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to train personnel in their incident response roles and responsibilities.",,,,,,,,,,DCS-11,,,,,,,,,,5.29,,,,,,,,,,,,,,,IR-2,IR-2,IR-2,IR-2,"IR-2 IR-2(3)","IR-2 IR-2(3)",IR-2,IR-2,IR-2,,,IR-2,IR-2,IR-2,,IR-2,IR-2,IR-2,,IR-2,IR-2,3.6.1,"3.6.4.a 3.6.4.a.1 3.6.4.a.2 3.6.4.a.3",,"A.03.06.04.a.01 A.03.06.04.a.02 A.03.06.04.a.03 A.03.06.04.b[01] A.03.06.04.b[02] A.03.06.04.b[03] A.03.06.04.b[04] A.03.06.04.ODP[01] A.03.06.04.ODP[02]",,,DE.DP-3,,,12.10.4,"12.10.4 12.10.4.1",,,,,,,"12.10.4 12.10.4.1","12.10.4 12.10.4.1",,J.1.7.1,,,,,,,SC:SG3.SP5,,5.3.3,,IR.L2-3.6.1,,,IR.L2-3.6.1,IR.L2-3.6.1,IR-2,,,,,,,,IR-2 ,IR-2 ,IR-2 ,IR-2 ,IR-2 ,IR-2,IR-2,IR-2,IR-2,IR-2,,,,,,,,,,"IR-2 IR-2(3)",,,"8-103 8-104",,,,,,,IR-2 ,IR-2 ,IR-2 ,,,,,,,,,,,,,,,,,,IR-2,IR-2,IR-2,,,,,,,,,,,,,,,,,,,,,,,"24.10 24.11",,,,,,,,,,,,,TPC-88,,,2-12-2-6,,,,,,,,,,D1.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.8,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Simulated Incidents,IRO-05.1,Mechanisms exist to incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.,,,Does the organization incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations?,5,Respond,,X,,There is no evidence of a capability to incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.,"SP-CMM1 is N/A, since a structured process is required to incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to coordinate incident response testing with organizational elements responsible for related plans. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to incorporate simulated events into incident response training to facilitate effective response by personnel in crisis situations.",,,,,,,,,,SEF-04,,,,,,,,,,,,,,,,,,,,,,,,,IR-2(1),,,IR-2(1),IR-2(1),,,,IR-2(1),,,,,IR-2(1),,,,,,,,,,,,,,DE.DP-3,,,,,,,,,,,,,,J.1.7.2,,,,,,,,,5.3.3,,,,,,,,,,,,,,,IR-2(1),,,IR-2(1),,IR-2(1),,,IR-2(1),,,,,,,,,,,IR-2(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.8,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Automated Incident Response Training Environments,IRO-05.2,Automated mechanisms exist to provide a more thorough and realistic incident response training environment.,,,Does the organization use automated mechanisms to provide a more thorough and realistic incident response training environment?,5,Respond,,,X,There is no evidence of a capability to provide a more thorough and realistic incident response training environment.,"SP-CMM1 is N/A, since a structured process is required to provide a more thorough and realistic incident response training environment.","SP-CMM2 is N/A, since a well-defined process is required to provide a more thorough and realistic incident response training environment.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide a more thorough and realistic incident response training environment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide a more thorough and realistic incident response training environment.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-2(2),,,IR-2(2),IR-2(2),,,,IR-2(2),,,,,IR-2(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,J.1.7.2,,,,,,,,,,,,,,,,,,,,,,,,IR-2(2),,,IR-2(2),,IR-2(2),,,IR-2(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Incident Response,Incident Response Testing,IRO-06,Mechanisms exist to formally test incident response capabilities through realistic exercises to determine the operational effectiveness of those capabilities.,"- Strake (https://9yahds.com/) - ""Table Top"" incident response exercises (rock drills) - ""Red team vs blue team"" exercises - EICAR test file antimalware detection and response exercises",E-IRO-04,Does the organization formally test incident response capabilities through realistic exercises to determine the operational effectiveness of those capabilities?,9,Respond,,X,X,There is no evidence of a capability to formally test incident response capabilities through realistic exercises to determine the operational effectiveness of those capabilities.,"Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident responders are proficient on their specific IRP role(s) and responsibilities through recurring training events (e.g., annual rock drill). • IT/cybersecurity personnel update the IRP, based on lessons learned from incidents / exercises.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to formally test incident response capabilities through realistic exercises to determine the operational effectiveness of those capabilities.","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to formally test incident response capabilities through realistic exercises to determine the operational effectiveness of those capabilities.",,,,,,,,,,SEF-04,,,,,,,,,,5.30,,,,,,,,,,,PR.PO-P8,,,,"IR-3 SI-4(9)",,IR-3,IR-3,"IR-3 SI-4(9)",IR-3,,IR-3,IR-3,SI-4(9),,,IR-3,IR-3,,IR-3,,,,IR-3,IR-3,3.6.3,3.6.3,3.6.3,A.03.06.03,,,PR.IP-10,,,12.10.2,12.10.2,,,,,,,12.10.2,12.10.2,,J.2.23,,,,,,"RESPONSE-3.G.MIL2 RESPONSE-3.H.MIL2 RESPONSE-3.K.MIL3",,,5.3.3,,IR.L2-3.6.3,IR.L2-3.6.3,,IR.L2-3.6.3,IR.L2-3.6.3,IR-3,,,,,,,,IR-3,,IR-3,IR-3,,IR-3,,IR-3,IR-3,,,,,,,,,,,IR-3,,"CIP-008-5 R2",8-104,,,,,,,,,IR-3,,,,,,,,,,,,,,,,,,IR-3,,IR-3,,,,,,,,,,,,,,,,,,,,,,,"24.10 24.11 24.12",,,,,,,,,,,,,,,,2-12-2-7,,,,,,,,,,D1.c,,,,,,,,,,,,,26,,,,,,,,,,,,,,,,,,,,,,,,2.8,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Coordination with Related Plans ,IRO-06.1,Mechanisms exist to coordinate incident response testing with organizational elements responsible for related plans. ,,,Does the organization coordinate incident response testing with organizational elements responsible for related plans? ,7,Protect,,X,,There is no evidence of a capability to coordinate incident response testing with organizational elements responsible for related plans. ,"SP-CMM1 is N/A, since a structured process is required to coordinate incident response testing with organizational elements responsible for related plans. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to coordinate incident response testing with organizational elements responsible for related plans. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to coordinate incident response testing with organizational elements responsible for related plans. ",,,,,,,,,,BCR-06,,,1.2.7,,,,,,,5.29,,,,,,,,,,,PR.PO-P8,,,,IR-3(2),,IR-3(2),IR-3(2),IR-3(2),,,IR-3(2),IR-3(2),,,,IR-3(2),IR-3(2),,,,,,,,,,,,,,PR.IP-10,GV.SC-08,,,,,,,,,,,,,J.1.6,,,,,,"RESPONSE-3.J.MIL3 RESPONSE-3.K.MIL3",,,,,,,,,,IR-3(2),,,,,,,,IR-3(2) ,,IR-3(2) ,IR-3(2) ,,IR-3(2),,IR-3(2),IR-3(2),,,"D5.IR.Te.B.1 D5.IR.Te.B.3",,,,,,,,IR-3(2),,,,,,,,,,,,IR-3(2) ,,,,,,,,,,,,,,,,,,,,IR-3(2),Sec 11.175(e),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-12-2-8,,,,,,,,,,D1.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.8,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Integrated Security Incident Response Team (ISIRT),IRO-07,"Mechanisms exist to establish an integrated team of cybersecurity, IT and business function representatives that are capable of addressing cybersecurity & data privacy incident response operations.",- Full-time employees only,,"Does the organization establish an integrated team of cybersecurity, IT and business function representatives that are capable of addressing cybersecurity & data privacy incident response operations?",9,Respond,,X,X,"There is no evidence of a capability to establish an integrated team of cybersecurity, IT and business function representatives that are capable of addressing cybersecurity & data privacy incident response operations.","SP-CMM1 is N/A, since a structured process is required to establish an integrated team of cybersecurity, IT and business function representatives that are capable of addressing cybersecurity & data privacy incident response operations.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish an integrated team of cybersecurity, IT and business function representatives that are capable of addressing cybersecurity & data privacy incident response operations.",CC7.4,"CC2.2-POF6 CC7.4-POF1",,"17.1 17.4 17.5 17.6 17.7 17.9",17.1,"17.1 17.4 17.5 17.6 17.7","17.1 17.4 17.5 17.6 17.7 17.9",DSS02.05,,,IMT-01,SO16,,,,,,,16.1.4 ,"5.25 5.26",16.1.4 ,,6.13.1.4,,,,,,"Sec 5(A) Sec 5(B)(1) Sec 5(B)(2) Sec 5(B)(3) Sec 5(B)(4)",,,,,,IR-10,,,,IR-4(11),,,,IR-4(11),,,,,IR-4(11),,IR-4(11),,,,,IR-4(11),,,,A.03.06.02.d,3.6.2e,,"RC.CO-1 RC.CO-2 RC.CO-3 RS.CO-1 RS.CO-4","RS.MA-04 RC.RP-06",,12.10.3,12.10.3,,12.10.3,,,12.10.3,,12.10.3,12.10.3,,J.4,7.1,,,,,SITUATION-3.G.MIL3,"IMC:SG1.SP2 OPD:SG1.SP6",,"5.3.1 5.3.2 5.3.2.1 5.3.2.2",,,TBD - 3.6.2e,,,IR.L3-3.6.2e,,,,,,,,,IR-7(2),,,,,IR-4(11),,,IR-4(11),,,"D5.ER.Es.Int.3 D5.IR.Pl.Int.1 D5.IR.Pl.B.3 D5.ER.Is.B.1 D5.IR.Pl.Int.1",,,314.4(h)(3),,,"8.M.A 8.M.B","8.M.A 8.M.B",,,,,,,,"17 CFR 229.106(C)(1)(i) FORM 8-K ITEM 1.05(a)",,,,,,,,,,,,,,,,,,,,"38-99-30(A) 38-99-30(B)(1) 38-99-30(B)(2) 38-99-30(B)(3) 38-99-30(B)(4)",Sec. 521.053,"Sec 8 Sec 9",,,,,,,"3.5.1(60)(d) 3.5.1(60)(d)(i)","Art 14.1 Art 14.2 Art 14.3",,"Art 34.1 Art 34.2 Art 34.3 Art 34.4",,,,,,,,,,,,,,,,"24.7 24.9",,,,,,,,,,,,,TPC-89,,,,,,,,,,,,,D1.b,,,,,,,,,,"0733 1618",,,"23 24 25(a) 25(b)",,,,,,,,16.1.4,,,7.2.18.C.01,,,,,7.7.5,,,,,,,,"5.1 5.2 5.3 5.4 5.5 5.6 5.7 5.8",3.4.1,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Chain of Custody & Forensics,IRO-08,"Mechanisms exist to perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices.","- Chain of custody procedures - Encase - Forensic Tool Kit (FTK)",,"Does the organization perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices?",9,Respond,,X,X,"There is no evidence of a capability to perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices.","SP-CMM1 is N/A, since a structured process is required to perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform digital forensics and maintain the integrity of the chain of custody, in accordance with applicable laws, regulations and industry-recognized secure practices.",,,,,,,,,,,IMT-01,,,,,,,,16.1.7 ,"5.26 5.28",16.1.7 ,,6.13.1.7,,,,,OR-4.0,,,,,,,AU-10(3),,,,"AU-10(3) IR-4(12)",,,,,"AU-10(3) IR-4(12)",,,,,,AU-10(3),,,,AU-10(3),AU-10(3),,,,,,,RS.AN-3,"RS.AN-06 RS.AN-07",,,,,,,,,,,,,J.2.3,7.1,,,7.3.7(c),7.3.7(c),,,,,,,,,,,,,252.204-7018(e),,,,,,,,,,,,,,,,,"D3.CC.Re.Int.3 D3.CC.Re.Int.4",,,,,,"8.M.A 8.M.B","8.M.A 8.M.B",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SIM-03,,,,,,,,,,,,,,,,,TPC-89,,,,,,,,,,,,,,,,,,,,,,,"0137 1609 0138 1731 1732",,,,,,,,,,,"16.1.7 16.1.7.13.PB",,,7.3.11.C.01,,,,,,,,,,,,,,3.4.5,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Incident Response,Situational Awareness For Incidents,IRO-09,"Mechanisms exist to document, monitor and report the status of cybersecurity & data privacy incidents to internal stakeholders all the way through the resolution of the incident.","- Incident Response Plan (IRP) - Strake (https://9yahds.com/)",E-IRO-03,"Does the organization document, monitor and report the status of cybersecurity & data privacy incidents to internal stakeholders all the way through the resolution of the incident?",8,Detect,,X,X,"There is no evidence of a capability to document, monitor and report the status of cybersecurity & data privacy incidents to internal stakeholders all the way through the resolution of the incident.","SP-CMM1 is N/A, since a structured process is required to document, monitor and report the status of cybersecurity & data privacy incidents to internal stakeholders all the way through the resolution of the incident.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to report incidents both internally to organizational incident response personnel (within defined time-periods) and externally to governmental authorities and affected parties, as necessary.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document, monitor and report the status of cybersecurity & data privacy incidents to internal stakeholders all the way through the resolution of the incident.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document, monitor and report the status of cybersecurity & data privacy incidents to internal stakeholders all the way through the resolution of the incident.",CC7.4,"CC2.2-POF6 CC7.3-POF2 CC7.4-POF9",,"17.2 17.6",17.2,"17.2 17.6","17.2 17.6",,,,,SO17,1.2.7,CR 6.2 (10.4.1),,,,,,5.25,,,,,,,T1564.008,OR-4.0,,,,,,,IR-5,IR-5,IR-5,IR-5,IR-5,IR-5,IR-5,IR-5,IR-5,,,IR-5,IR-5,IR-5,,IR-5,IR-5,,,IR-5,IR-5,,"3.6.2.a 3.6.2.b 3.6.2.c",,"A.03.06.02.a[01] A.03.06.02.a[02]",,,DE.AE-3,"RS.AN-03 RS.AN-06 RC.RP-06 RC.CO-03",,"12.5.2 12.10.5",A3.3.1,,,,,,,,,,J.2.21,,,,,,RESPONSE-3.F.MIL2,"IMC:SG2.SP1 IMC:SG2.SP2 IMC:SG2.SP3",,5.3.4,,,,,,,IR-5,,,,,,,,IR-5 ,IR-5 ,IR-5 ,IR-5 ,IR-5 ,IR-5,IR-5,IR-5,IR-5,IR-5,,D3.DC.Ev.E.1,,,314.4(h)(6),,,"8.M.A 8.M.B","8.M.A 8.M.B",IR-5,,,"1-303 4-218",,,,17 CFR 229.106(C)(1)(i),,,IR-5 ,IR-5 ,IR-5 ,,,,,,,,,,,,,,,,,,IR-5,IR-5,IR-5,"Sec 11.175(e) Sec 11.175(f)",,"§ 2447(b)(10) § 2447(b)(10)(A)","3.5.1(60)(d) 3.5.1(60)(d)(ii)",,,,,,,,,,,,,,,,,,,24.5,,,,,,,,,,,,,"TPC-89 TPC-90",,,,,,,,,,,,,,,,,,,,,,,"0125 0733 0137 1609 1803",,,"23 24",,,,,,,,,,,"3.2.16.C.01 7.3.6.C.01 7.3.6.C.02",,,,,7.7.5,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,"Automated Tracking, Data Collection & Analysis",IRO-09.1,"Automated mechanisms exist to assist in the tracking, collection and analysis of information from actual and potential cybersecurity & data privacy incidents.",- Strake (https://9yahds.com/),,"Does the organization use automated mechanisms to assist in the tracking, collection and analysis of information from actual and potential cybersecurity & data privacy incidents?",1,Detect,,X,X,"There is no evidence of a capability to assist in the tracking, collection and analysis of information from actual and potential cybersecurity & data privacy incidents.","SP-CMM1 is N/A, since a structured process is required to assist in the tracking, collection and analysis of information from actual and potential cybersecurity & data privacy incidents.","SP-CMM2 is N/A, since a well-defined process is required to assist in the tracking, collection and analysis of information from actual and potential cybersecurity & data privacy incidents.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Incident Response (IRO) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-5(1),,,IR-5(1),IR-5(1),,,,IR-5(1),,,,,IR-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,J.3.2,,,,,,,,,,,,,,,,,,,,,,,,IR-5(1),,,IR-5(1),,IR-5(1),,,IR-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,24.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Incident Response,Incident Stakeholder Reporting ,IRO-10,"Mechanisms exist to timely-report incidents to applicable: ▪ Internal stakeholders; ▪ Affected clients & third-parties; and ▪ Regulatory authorities.",,,"Does the organization timely-report incidents to applicable: ▪ Internal stakeholders; ▪ Affected clients & third-parties; and ▪ Regulatory authorities?",9,Respond,X,X,,"There is no evidence of a capability to timely-report incidents to applicable: ▪ Internal stakeholders; ▪ Affected clients & third-parties; and ▪ Regulatory authorities.","Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Administrative processes and technologies exist to document, manage and report on actual and potential cybersecurity & data privacy incidents. • Administrative processes and technologies exist to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to report incidents both internally to organizational incident response personnel (within defined time-periods) and externally to governmental authorities and affected parties, as necessary. • Administrative processes and technologies exist to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to timely-report incidents to applicable: ▪ Internal stakeholders; ▪ Affected clients & third-parties; and ▪ Regulatory authorities.","CC2.3 CC7.4 P6.3 P6.7","CC2.2-POF6 CC2.3-POF1 CC7.3-POF2 CC7.4-POF9",,"17.2 17.6",17.2,"17.2 17.6","17.2 17.6","EDM05.02 DSS02.07",Principle 15,"BCR-07 SEF-07 TVM-09",,SO18,1.2.7,,RQ-14-01,"8.4.3 8.4.3.1 8.4.3.2",,,16.1.2,6.8,16.1.2,,"6.13.1.2 6.13.1.3",,,,,OR-4.0,"Sec 5(D) Sec 6(A) Sec 6(A)(1) Sec 6(A)(2)(a) Sec 6(A)(2)(b)(i) Sec 6(A)(2)(b(ii) Sec 6(B) Sec 6(B)(1) Sec 6(B)(2) Sec 6(B)(3) Sec 6(B)(4) Sec 6(B)(5) Sec 6(B)(6) Sec 6(B)(7) Sec 6(B)(8) Sec 6(B)(9) Sec 6(B)(10) Sec 6(B)(11) Sec 6(B)(12) Sec 6(B)(13)",MANAGE 4.3,,,,,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,,,IR-6,IR-6,IR-6,,,,,,,,,"3.6.2.b 3.6.2.c",,"A.03.06.02.b A.03.06.02.c A.03.06.02.ODP[01] A.03.06.02.ODP[02]",,,"RS.CO-2 RS.CO-3 RS.CO-5","RS.CO-02 RC.RP-06 RC.CO-03",,"12.5.2 12.8.3","12.1.4 12.10.1 A1.2.3",12.10.1,"12.1.4 12.10.1",12.10.1,12.10.1,12.10.1,12.10.1,"12.1.4 12.10.1","12.1.4 12.10.1",12.10.1,J.2.6,7.1,,,,,RESPONSE-3.F.MIL2,"COMM:SG2.SP3 IMC:SG2.SP1",,5.3.1,,,,,,,IR-6,,"252.204-7018(d)(1) 252.204-7018(d)(2)(i) 252.204-7018(d)(2)(ii)",,,,,,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,,"D5.IR.Pl.B.2 D5.DR.Re.B.4 D5.DR.Re.E.6 D5.ER.Es.B.4 D5.ER.Es.B.2 D2.IS.Is.B.3 D2.IS.Is.E.2",,,314.4(h)(4),"164.314(a)(2)(i)(C) 164.404 164.404(a) 164.404(a)(1) 164.404(a)(2) 164.404(b) 164.404(c) 164.404(c)(1) 164.404(c)(1)(A) 164.404(c)(1)(B) 164.404(c)(1)(C) 164.404(c)(1)(D) 164.404(c)(1)(E) 164.404(c)(2) 164.404(d) 164.404(d)(1) 164.404(d)(2) 164.404(d)(3) 164.406 164.406(a) 164.406(b) 164.406(c) 164.408 164.408(a) 164.408(b) 164.408(c) 164.410 164.410(a) 164.410(b) 164.410(c) 164.412 164.412(a) 164.412(b) 164.414 164.414(a) 164.414(b)",,"8.M.A 8.M.B","8.M.A 8.M.B 9.L.A 9.L.D","1.8.3 IR-6",,,"1-303 4-218",,,,FORM 8-K ITEM 1.05(a),,5.9,IR-6,IR-6,IR-6,,,,,SEC2-Section 1798.29,,,,,17.03(2)(j),,500.17,,"604(1) 604(2) 604(3) 604(4) 604(5)","38-99-30(D) 38-99-40(A) 38-99-40(A)(1) 38-99-40(A)(2)(a) 38-99-40(A)(2)(b)(i) 38-99-40(A)(2)(b(ii) 38-99-40(B) 38-99-40(B)(1) 38-99-40(B)(2) 38-99-40(B)(3) 38-99-40(B)(4) 38-99-40(B)(5) 38-99-40(B)(6) 38-99-40(B)(7) 38-99-40(B)(8) 38-99-40(B)(9) 38-99-40(B)(10) 38-99-40(B)(11) 38-99-40(B)(12) 38-99-40(B)(13)",Sec. 521.053,Sec 8,IR-6,IR-6,IR-6,"Sec 11.175(e) Sec 11.175(f)",,,3.7.5(91),"Art 14.1 Art 14.2 Art 14.3 Art 19.1 Art 19.2 Art 19.3 Art 19.4(a) Art 19.4(b) Art 19.4(c) Art 19.5 Art 45.3",,"Art 33.1 Art 33.2 Art 33.3 Art 33.4 Art 33.5 Art 34.1 Art 34.2 Art 34.3 Art 34.4",,,,,,,,,,,,"SIM-03 SIM-04",,,,"24.6 24.8",,,,,,,,,,Article 14,,,"TPC-23 TPC-89",,"2-13-3-3 2-13-3-4",,,,Sec 22,,,,,,,,,,,,,,,,,"0733 0137 1609",,"33 42",,,,,,,,,16.1.2,,,"7.2.18.C.01 7.2.20.C.01 7.2.21.C.01 7.2.23.C.01",,,,,"7.7.5 7.7.6 7.7.7",,,,,,6.5,Art 48,,,,,,,,,,,,,x,"NAIC MA 201 CMR 17 OR 6464A",,x,"R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Incident Response,Automated Reporting,IRO-10.1,Automated mechanisms exist to assist in the reporting of cybersecurity & data privacy incidents.,- Strake (https://9yahds.com/),,Does the organization use automated mechanisms to assist in the reporting of cybersecurity & data privacy incidents?,9,Detect,,X,X,There is no evidence of a capability to assist in the reporting of cybersecurity & data privacy incidents.,"SP-CMM1 is N/A, since a structured process is required to assist in the reporting of cybersecurity & data privacy incidents.","SP-CMM2 is N/A, since a well-defined process is required to assist in the reporting of cybersecurity & data privacy incidents.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to assist in the reporting of cybersecurity & data privacy incidents.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assist in the reporting of cybersecurity & data privacy incidents.",,,,,,,,,,TVM-09,,,,,,,,,,,,,,,,,,,,,,,,,IR-6(1),,IR-6(1),IR-6(1),IR-6(1),,,IR-6(1),IR-6(1),,,,IR-6(1),IR-6(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,J.1.9,,,,,,,,,,,,,,,,IR-6(1),,,,,,,,IR-6(1),,IR-6(1),IR-6(1),,IR-6(1),,IR-6(1),IR-6(1),,,,,,,,,,,IR-6(1),,,,,,,,,,,,IR-6(1),,,,,,,,,,,,,,,,,,,,IR-6(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Incident Response,Cyber Incident Reporting for Sensitive Data,IRO-10.2,Mechanisms exist to report sensitive/regulated data incidents in a timely manner.,,,Does the organization report sensitive/regulated data incidents in a timely manner?,9,Detect,,X,,There is no evidence of a capability to report sensitive/regulated data incidents in a timely manner.,"SP-CMM1 is N/A, since a structured process is required to report sensitive/regulated data incidents in a timely manner.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Administrative processes and technologies exist to document, manage and report on actual and potential cybersecurity & data privacy incidents. • Administrative processes and technologies exist to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to report incidents both internally to organizational incident response personnel (within defined time-periods) and externally to governmental authorities and affected parties, as necessary. • Administrative processes and technologies exist to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to report sensitive/regulated data incidents in a timely manner.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to report sensitive/regulated data incidents in a timely manner.",CC7.4,"CC2.2-POF6 CC2.3-POF1 CC7.3-POF2",,17.2,17.2,17.2,17.2,,,SEF-07,,,,,,,,,,,,,,,,,,,"Sec 6(A)(2)(a) Sec 6(A)(2)(b)(i) Sec 6(A)(2)(b(ii) Sec 6(E)(1)(a) Sec 6(E)(1)(b) Sec 6(E)(2)(a) Sec 6(E)(2)(b) Sec 6(F)",,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.6.2.b 3.6.2.c",,"A.03.06.02.c A.03.06.02.ODP[02]",,,,RS.CO-03,,,,,,,,,,,,,J.2.19,,,,,,,,,5.3.1,,,,,,,,,"252.204-7012(c)(1)(i) 252.204-7012(c)(1)(ii) 252.204-7012(c)(2) 252.204-7012(c)(3) 252.204-7012(d) 252.204-7012(e) 252.204-7012(f) 252.204-7012(g)",,,,,,,,,,,,,,,,,,,,,164.314(a)(2)(i)(C),,"8.M.A 8.M.B","8.M.A 8.M.B",1.8.5,,,,"8.2 8.3",,,,,5.5,,,,,,,,,6-1-1305(2)(b),,,,,,,,,"38-99-40(A)(2)(a) 38-99-40(A)(2)(b)(i) 38-99-40(A)(2)(b(ii) 38-99-40(E)(1)(a) 38-99-40(E)(1)(b) 38-99-40(E)(2)(a) 38-99-40(E)(2)(b) 38-99-40(F)",,,,,,,,"§ 2447(b)(10) § 2447(b)(10)(A)",3.7.5(91),,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 14,,,"TPC-23 TPC-89",,"2-13-3-3 2-13-3-4",,"Article 52 Article 52.1 Article 52.2 Article 52.3 Article 52.4",,,,,,,,,,,,,"Article 33(1) Article 33(2) Article 33(3)(a) Article 33(3)(b) Article 33(3)(c) Article 33(3)(d) Article 33(4) Article 33(5) Article 34(1) Article 34(2) Article 34(3)(a) Article 34(3)(b) Article 34(3)(c) Article 33(4)",,,,,,0733,,,,,,"Article 57 Article 57(1) Article 57(2) Article 57(3)",,,,,,,,"7.2.18.C.01 7.2.20.C.01 7.2.21.C.01 7.2.23.C.01 7.3.8.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,NAIC,,x,"R-BC-1 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,,R-BC-1,,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Incident Response,Vulnerabilities Related To Incidents,IRO-10.3,Mechanisms exist to report system vulnerabilities associated with reported cybersecurity & data privacy incidents to organization-defined personnel or roles.,,,Does the organization report system vulnerabilities associated with reported cybersecurity & data privacy incidents to organization-defined personnel or roles?,8,Respond,,X,,There is no evidence of a capability to report system vulnerabilities associated with reported cybersecurity & data privacy incidents to organization-defined personnel or roles.,"Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to report system vulnerabilities associated with reported cybersecurity & data privacy incidents to organization-defined personnel or roles.",,,,17.2,17.2,17.2,17.2,,,,,,,,,,,,,8.8,,,,,,,,,,,,,,,IR-6(2),,,,IR-6(2),,,,,IR-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Supply Chain Coordination,IRO-10.4,Mechanisms exist to provide cybersecurity & data privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.,,,Does the organization provide cybersecurity & data privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident?,7,Respond,,X,X,There is no evidence of a capability to provide cybersecurity & data privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.,"SP-CMM1 is N/A, since a structured process is required to provide cybersecurity & data privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to coordinate incident response actions with third-party stakeholders and service providers.","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide cybersecurity & data privacy incident information to the provider of the product or service and other organizations involved in the supply chain for systems or system components related to the incident.",CC7.4,CC2.3-POF1,,17.2,17.2,17.2,17.2,,,"SEF-02 SEF-03",,,,,,,,,,5.20,,,,,,,,,"Sec 5(A) Sec 5(B)(1) Sec 5(B)(2) Sec 5(B)(3) Sec 5(B)(4) Sec 5(C)",,,,,,IR-6(3),,,,"IR-4(10) IR-6(3)",,,IR-6(3),IR-6(3),IR-4(10),,,IR-6(3),IR-6(3),,"IR-4(10) IR-6(3)",,"IR-4(10) IR-6(3)",,IR-4(10),IR-6(3),,,,,,,,GV.SC-08,,,,,,,,,,,,,J.2.7,,,,,,"RESPONSE-3.J.MIL3 RESPONSE-3.K.MIL3",,,,,,,,,,,,,,,,,,,,,,,IR-6(3),,IR-6(3),IR-6(3),,,,,,,164.314(a)(2)(i)(C),,,,IR-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,"38-99-30(A) 38-99-30(B)(1) 38-99-30(B)(2) 38-99-30(B)(3) 38-99-30(B)(4) 38-99-30(C)",,,,,,,,,,,,,,,,,,,,,,,,,,,,17.11,,,,,,,,,,,,,,,,,,,,,,,,,,A4.a,,,,,,,,,,1569,,,,,,,,,,,,,,7.2.22.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Incident Response,Incident Reporting Assistance ,IRO-11,Mechanisms exist to provide incident response advice and assistance to users of systems for the handling and reporting of actual and potential cybersecurity & data privacy incidents. ,- ITIL Infrastructure Library - Incident and problem management,,Does the organization provide incident response advice and assistance to users of systems for the handling and reporting of actual and potential cybersecurity & data privacy incidents? ,5,Respond,,X,,There is no evidence of a capability to provide incident response advice and assistance to users of systems for the handling and reporting of actual and potential cybersecurity & data privacy incidents. ,"SP-CMM1 is N/A, since a structured process is required to provide incident response advice and assistance to users of systems for the handling and reporting of actual and potential cybersecurity & data privacy incidents. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide incident response advice and assistance to users of systems for the handling and reporting of actual and potential cybersecurity & data privacy incidents. ",,,,,,,,,,TVM-09,,,1.2.7,,,,,,,,5.24,,,,,,,,"Sec 5(D) Sec 6(A) Sec 6(A)(1) Sec 6(A)(2) Sec 6(B) Sec 6(B)(1) Sec 6(B)(2) Sec 6(B)(3) Sec 6(B)(4) Sec 6(B)(5) Sec 6(B)(6) Sec 6(B)(7) Sec 6(B)(8) Sec 6(B)(9) Sec 6(B)(10) Sec 6(B)(11) Sec 6(B)(12) Sec 6(B)(13)",,,,,,IR-7,IR-7,IR-7,IR-7,IR-7,IR-7,IR-7,IR-7,IR-7,,,IR-7,IR-7,IR-7,,,,,,,,,3.6.2.d,,A.03.06.02.ODP[02],3.6.2e,,,,,,,,,,,,,,,,J.6,,,,,,,IMC:SG2.SP2,,,,,TBD - 3.6.2e,,,IR.L3-3.6.2e,IR-7,,,,,,,,IR-7 ,IR-7 ,IR-7 ,IR-7 ,IR-7 ,IR-7,IR-7,IR-7,IR-7,IR-7,,,,,,,,,9.L.D,IR-7,,,,,,,,,,IR-7 ,IR-7 ,IR-7 ,,,,,,,,,,,,,,,"38-99-30(D) 38-99-40(A) 38-99-40(A)(1) 38-99-40(A)(2) 38-99-40(B) 38-99-40(B)(1) 38-99-40(B)(2) 38-99-40(B)(3) 38-99-40(B)(4) 38-99-40(B)(5) 38-99-40(B)(6) 38-99-40(B)(7) 38-99-40(B)(8) 38-99-40(B)(9) 38-99-40(B)(10) 38-99-40(B)(11) 38-99-40(B)(12) 38-99-40(B)(13)",,,IR-7,IR-7,IR-7,,,,,"Art 14.1 Art 14.2 Art 14.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.3.12.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Automation Support of Availability of Information / Support ,IRO-11.1,Automated mechanisms exist to increase the availability of incident response-related information and support. ,,,Does the organization use automated mechanisms to increase the availability of incident response-related information and support? ,1,Respond,,X,X,There is no evidence of a capability to increase the availability of incident response-related information and support. ,"SP-CMM1 is N/A, since a structured process is required to increase the availability of incident response-related information and support. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to automate the incident handling process to dynamically reconfigure systems, applications and services.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to increase the availability of incident response-related information and support. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to increase the availability of incident response-related information and support. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-7(1),,IR-7(1),IR-7(1),IR-7(1),,,IR-7(1),IR-7(1),,,,IR-7(1),IR-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,J.6,,,,,,,,,,,,,,,,IR-7(1),,,,,,,,IR-7(1),,IR-7(1),IR-7(1),,IR-7(1),,IR-7(1),IR-7(1),,,,,,,,,,,IR-7(1),,,,,,,,,,,,IR-7(1),,,,,,,,,,,,,,,,,,,,IR-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Incident Response,Coordination With External Providers,IRO-11.2,"Mechanisms exist to establish a direct, cooperative relationship between the organization's incident response capability and external service providers.",,,"Does the organization establish a direct, cooperative relationship between the organization's incident response capability and external service providers?",5,Respond,,X,X,"There is no evidence of a capability to establish a direct, cooperative relationship between the organization's incident response capability and external service providers.","Incident Response (IRO) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident response operations are decentralized.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to coordinate incident response actions with third-party stakeholders and service providers.","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish a direct, cooperative relationship between the organization's incident response capability and external service providers.",CC7.4,,,,,,,,,"SEF-02 SEF-03",,,,,,,,,,5.29,,,,,,,,,"Sec 5(A) Sec 5(B)(1) Sec 5(B)(2) Sec 5(B)(3) Sec 5(B)(4) Sec 5(C)",,,,,,IR-7(2),,,,IR-7(2),,,,,IR-7(2),,,,,,IR-7(2),,IR-7(2),,,IR-7(2),,,,,,,,,,,,,,,,,,,,,J.2.1,,,,,,"RESPONSE-3.J.MIL3 RESPONSE-3.K.MIL3",,,,,,,,,,,,,,,,,,IR-7(2),,IR-7(2),IR-7(2),,,,,,,,,,,,,,"8.M.A 8.M.B","8.M.A 8.M.B",IR-7(2),,,,,,,,,,,IR-7(2),IR-7(2),,,,,,,,,,,,,,,"38-99-30(A) 38-99-30(B)(1) 38-99-30(B)(2) 38-99-30(B)(3) 38-99-30(B)(4) 38-99-30(C)",Sec. 521.053,,,,IR-7(2),,,,,,,"Art 34.1 Art 34.2 Art 34.3 Art 34.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 21.2,,,,,,,A4.a,,,,"Article 33(1) Article 33(2) Article 33(3)(a) Article 33(3)(b) Article 33(3)(c) Article 33(3)(d) Article 33(4) Article 33(5) Article 34(1) Article 34(2) Article 34(3)(a) Article 34(3)(b) Article 34(3)(c) Article 33(4)",,,,,,,,,,,,,,,,,,,,"7.3.10.C.01 7.3.11.C.01 7.3.12.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Information Spillage Response,IRO-12,Mechanisms exist to respond to sensitive information spills.,,,Does the organization respond to sensitive information spills?,8,Respond,,X,X,There is no evidence of a capability to respond to sensitive information spills.,"SP-CMM1 is N/A, since a structured process is required to respond to sensitive information spills.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to respond to sensitive/regulated data spills.","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to respond to sensitive information spills.",P6.3,,,,,,,,,SEF-06,,,,,,,,,,,,,,,,,,,,,PR.DS-P5,,,,IR-9,,,,IR-9,,,,,IR-9,,,,,,IR-9,,IR-9,,,IR-9,,"3.6.1.a 3.6.1.b",,,,,,,,,"12.10.7 A3.2.5.2",,,,,,,12.10.7,12.10.7,,D.10.18,,,,,,,"IMC:SG4.SP1 IMC:SG4.SP2 IMC:SG4.SP3",,,,,,,,,IR-9,,"252.204-7012(c)(1)(i) 252.204-7012(c)(1)(ii) 252.204-7012(c)(2) 252.204-7012(c)(3) 252.204-7012(d) 252.204-7012(e) 252.204-7012(f) 252.204-7012(g) 252.204-7012(h)",,,,,,IR-9 ,,IR-9 ,IR-9 ,IR-9 ,IR-9,,IR-9,IR-9,,,,,,,,,,,IR-9,,,8-103,"8.2 8.3",,,,,,,IR-9 ,IR-9 ,,,,,,,,,,,,,,,,,,IR-9,IR-9,IR-9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 33(1) Article 33(2) Article 33(3)(a) Article 33(3)(b) Article 33(3)(c) Article 33(3)(d) Article 33(4) Article 33(5) Article 34(1) Article 34(2) Article 34(3)(a) Article 34(3)(b) Article 34(3)(c) Article 33(4)",,,,,,0133,,,,,,,,,,,,,,"7.3.7.C.01 7.3.7.C.02 7.3.7.C.03 7.3.7.C.04 7.3.7.C.05 7.3.7.C.06 7.3.8.C.01 7.3.8.C.02 7.3.8.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Incident Response,Responsible Personnel,IRO-12.1,Mechanisms exist to formally assign personnel or roles with responsibility for responding to sensitive information spills. ,,,Does the organization formally assign personnel or roles with responsibility for responding to sensitive information spills? ,8,Respond,,X,X,There is no evidence of a capability to formally assign personnel or roles with responsibility for responding to sensitive information spills. ,"SP-CMM1 is N/A, since a structured process is required to formally assign personnel or roles with responsibility for responding to sensitive information spills. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Administrative processes and technologies exist to formally assign personnel or roles with responsibility for responding to sensitive/regulated data spills. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to formally assign personnel or roles with responsibility for responding to sensitive/regulated data spills. ","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to formally assign personnel or roles with responsibility for responding to sensitive information spills. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-9(1),,,,IR-9,,,,,IR-9,,,,,,IR-9,,IR-9,,,IR-9,,,,,,,,,,,,,,,,,,,,,J.4,,,,,,,,,,,,,,,,,,,,,,,,IR-9(1) ,,IR-9(1) ,IR-9(1) ,,,,,,,,,,,,,,,,IR-9,,,,,,,,,,,IR-9(1) ,IR-9(1) ,,,,,,,,,,,,,,,,,,IR-9,,IR-9(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Training,IRO-12.2,Mechanisms exist to ensure incident response training material provides coverage for sensitive information spillage response.,,,Does the organization ensure incident response training material provides coverage for sensitive information spillage response?,8,Respond,,X,,There is no evidence of a capability to ensure incident response training material provides coverage for sensitive information spillage response.,"SP-CMM1 is N/A, since a structured process is required to ensure incident response training material provides coverage for sensitive information spillage response.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure incident response training material provides coverage for sensitive information spillage response.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-9(2),,,,IR-9(2),,,,,IR-9(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.1.7.1,,,,,,,,,,,,,,,,,,,,,,,,IR-9(2) ,,IR-9(2) ,IR-9(2) ,,IR-9(2),,IR-9(2),IR-9(2),,,,,,,,,,,,,,,,,,,,,,,IR-9(2) ,,,,,,,,,,,,,,,,,,,,IR-9(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Post-Spill Operations,IRO-12.3,Mechanisms exist to ensure that organizational personnel impacted by sensitive information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. ,,,Does the organization ensure that organizational personnel impacted by sensitive information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions? ,8,Respond,,X,X,There is no evidence of a capability to ensure that organizational personnel impacted by sensitive information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. ,"SP-CMM1 is N/A, since a structured process is required to ensure that organizational personnel impacted by sensitive information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to ensure that organizational personnel impacted by sensitive/regulated data spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that organizational personnel impacted by sensitive information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that organizational personnel impacted by sensitive information spills can continue to carry out assigned tasks while contaminated systems are undergoing corrective actions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-9(3),,,,IR-9(3),,,,,IR-9(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,K.7,,,,,,,,,,,,,,,,,,,,,,,,IR-9(3) ,,IR-9(3) ,IR-9(3) ,,IR-9(3),,IR-9(3),IR-9(3),,,,,,,,,,,,,,,,,,,,,,,IR-9(3) ,,,,,,,,,,,,,,,,,,,,IR-9(3),,,,,,,,,,,,,,,,,,,OPS-21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0133,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Exposure to Unauthorized Personnel,IRO-12.4,Mechanisms exist to address security safeguards for personnel exposed to sensitive information that is not within their assigned access authorizations. ,,,Does the organization address security safeguards for personnel exposed to sensitive information that is not within their assigned access authorizations? ,8,Respond,,X,,There is no evidence of a capability to address security safeguards for personnel exposed to sensitive information that is not within their assigned access authorizations. ,"SP-CMM1 is N/A, since a structured process is required to address security safeguards for personnel exposed to sensitive information that is not within their assigned access authorizations. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to address security safeguards for personnel exposed to sensitive information that is not within their assigned access authorizations. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address security safeguards for personnel exposed to sensitive information that is not within their assigned access authorizations. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-9(4),,,,IR-9(4),,,,,IR-9(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.10,,,,,,,,,,,,,,,,,,,,,,,,IR-9(4) ,,IR-9(4) ,IR-9(4) ,,IR-9(4),,IR-9(4),IR-9(4),,,,,,,,,,,,,,,,,,,,,,,IR-9(4) ,,,,,,,,,,,,,,,,,,,,IR-9(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0133,,,,,,,,,,,,,,"7.3.8.C.01 7.3.8.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Root Cause Analysis (RCA) & Lessons Learned,IRO-13,Mechanisms exist to incorporate lessons learned from analyzing and resolving cybersecurity & data privacy incidents to reduce the likelihood or impact of future incidents. ,,E-IRO-08,Does the organization incorporate lessons learned from analyzing and resolving cybersecurity & data privacy incidents to reduce the likelihood or impact of future incidents? ,8,Respond,X,X,X,There is no evidence of a capability to incorporate lessons learned from analyzing and resolving cybersecurity & data privacy incidents to reduce the likelihood or impact of future incidents. ,"SP-CMM1 is N/A, since a structured process is required to incorporate lessons learned from analyzing and resolving cybersecurity & data privacy incidents to reduce the likelihood or impact of future incidents. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Incident responders provide After Action Review (AAR) feedback on what worked, what did not work and ways to improve future responses to similar incidents.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • The ISIRT team leader conducts a formal After Action Review (AAR) to generate a Root Cause Analysis (RCA) report that also includes lessons learned during incident response operations to improve future response actions.","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to incorporate lessons learned from analyzing and resolving cybersecurity & data privacy incidents to reduce the likelihood or impact of future incidents. ",,CC7.4-POF10,,"16.3 17.8",,"16.3 17.8","16.3 17.8",,,,,SO18,,,,,,,16.1.6 ,"5.24 5.27",16.1.6 ,,6.13.1.6,,,,,,,,GV.MT-P6,,,,IR-1,IR-1,IR-1,IR-1,"IR-1 IR-4(12) IR-6(2)",IR-1,IR-1,IR-1,IR-1,"IR-4(12) IR-6(2)",,IR-1,IR-1,IR-1,,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,NFO - IR-1,,,,,,RS.IM-1,"ID.IM-03 RS.AN-03",,12.10.6,"12.10.6 A3.3.1.2",,,,,,,12.10.6,12.10.6,,J.1.7,,,,,,"RESPONSE-3.H.MIL2 RESPONSE-3.I.MIL3","COMM:SG3.SP1 COMM:SG3.SP2",,,,,,,,,IR-1,,,,,,,,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,IR-1,,D5.IR.Pl.Int.4,,,314.4(h)(7),,,"8.M.A 8.M.B","8.M.A 8.M.B",IR-1,,"CIP-008-5 R3","8-101 8-103",,,,,,,IR-1 ,IR-1 ,IR-1 ,,,,,,,,,,,,,,,,,,IR-1,IR-1,IR-1,,,"§ 2447(b)(10) § 2447(b)(10)(A) § 2447(b)(10)(B)",,"Art 13.2 Art 13.2(a) Art 13.2(b) Art 13.2(c) Art 13.2(d) Art 13.3",,,,,,,,,,,,,,SIM-05,,,,,,,,,,,,,,,,,TPC-89,,,,,,,,,,,,,"D1.c D2.a",D2,,,,,,,,,1213,,,25(a),,,,,,,,16.1.6,,,,,,,,"7.8.1 7.8.2 7.8.3 12.3.3",,,,,,6.4,,5.9,3.4,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Regulatory & Law Enforcement Contacts ,IRO-14,Mechanisms exist to maintain incident response contacts with applicable regulatory and law enforcement agencies. ,,,Does the organization maintain incident response contacts with applicable regulatory and law enforcement agencies? ,9,Identify,,X,,There is no evidence of a capability to maintain incident response contacts with applicable regulatory and law enforcement agencies. ,"SP-CMM1 is N/A, since a structured process is required to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Administrative processes and technologies exist to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Administrative processes and technologies exist to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","Incident Response (IR) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain incident response contacts with applicable regulatory and law enforcement agencies. ","CC2.3 CC7.4",,,,,,,,Principle 15,SEF-08,,,,,,,,,,,,,6.3.1.3,,,,,,"Sec 6(A) Sec 6(A)(1) Sec 6(A)(2)(a) Sec 6(A)(2)(b)(i) Sec 6(A)(2)(b(ii) Sec 6(B) Sec 6(B)(1) Sec 6(B)(2) Sec 6(B)(3) Sec 6(B)(4) Sec 6(B)(5) Sec 6(B)(6) Sec 6(B)(7) Sec 6(B)(8) Sec 6(B)(9) Sec 6(B)(10) Sec 6(B)(11) Sec 6(B)(12) Sec 6(B)(13) Sec 6(C)",,,,,,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,,,IR-6,IR-6,IR-6,,,,,,,,,,,A.03.06.02.ODP[02],,,,GV.OC-02,,,,,,,,,,,,,J.2.21.1,,,,,,,IMC:SG2.SP1,,,,,,,,,IR-6,,,,,,,,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,IR-6,,,,,,,,8.M.C,"8.M.C 8.L.B 9.L.D",IR-6,,,,,,,,,,,,,,,,,,,,,,,,500.17,,,"38-99-40(A) 38-99-40(A)(1) 38-99-40(A)(2)(a) 38-99-40(A)(2)(b)(i) 38-99-40(A)(2)(b(ii) 38-99-40(B) 38-99-40(B)(1) 38-99-40(B)(2) 38-99-40(B)(3) 38-99-40(B)(4) 38-99-40(B)(5) 38-99-40(B)(6) 38-99-40(B)(7) 38-99-40(B)(8) 38-99-40(B)(9) 38-99-40(B)(10) 38-99-40(B)(11) 38-99-40(B)(12) 38-99-40(B)(13) 38-99-40(C)",,,IR-6,IR-6,IR-6,,,,3.7.5(91),,,Art 31,,,,Sec 10,,"Art 14 Art 27",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0140,,,,,,,,,,,,Sec 9,,2.1.10.C.01,,,Sec 11,,,,,Art 26,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Detonation Chambers (Sandboxes),IRO-15,Mechanisms exist to utilize a detonation chamber capability to detect and/or block potentially-malicious files and email attachments.,"- Separate network with ""sacrificial"" systems where potential malware can be evaluated without impacting the production network.",,Does the organization utilize a detonation chamber capability to detect and/or block potentially-malicious files and email attachments?,5,Respond,,X,X,There is no evidence of a capability to utilize a detonation chamber capability to detect and/ or block potentially-malicious files and email attachments.,"SP-CMM1 is N/A, since a structured process is required to utilize a detonation chamber capability to detect and/ or block potentially-malicious files and email attachments.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery. • Physical controls, administrative processes and technologies exist to use a detonation chamber capability for incident response operations.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • Physical controls, administrative processes and technologies exist to use a detonation chamber capability for incident response operations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize a detonation chamber capability to detect and/ or block potentially-malicious files and email attachments.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a detonation chamber capability to detect and/ or block potentially-malicious files and email attachments.",,,,"9.0 9.7",,,9.7,,,,,,,NDR 3.2 (15.6.1),,,,,,,,,,,,,"T1137, T1137.001, T1137.002, T1137.003, T1137.004, T1137.005, T1137.006, T1203, T1204, T1204.001, T1204.002, T1204.003, T1221, T1564.009, T1566, T1566.001, T1566.002, T1566.003, T1598, T1598.001, T1598.002, T1598.003","TS-1.0 TS-1.8",,,,,,,SC-44,,,,SC-44,,,,,SC-44,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.9.1,,,,,,,EC:SG1.SP2,,,,,,SI.L1-b.1.xv,,,,,,,52.204-21(b)(1)(xv),,,,,,,,,,,,,,,,,,,,,,6.L.D,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4,,,,,,,,"0651 0652 1389",,,,,,,,,,,,,,15.2.21.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Incident Response,Public Relations & Reputation Repair,IRO-16,Mechanisms exist to proactively manage public relations associated with incidents and employ appropriate measures to prevent further reputational damage and develop plans to repair any damage to the organization's reputation.,,,Does the organization proactively manage public relations associated with incidents and employ appropriate measures to prevent further reputational damage and develop plans to repair any damage to the organization's reputation?,6,Recover,X,X,,There is no evidence of a capability to proactively manage public relations associated with incidents and employ appropriate measures to prevent further reputational damage and develop plans to repair any damage to the organization's reputation.,"SP-CMM1 is N/A, since a structured process is required to proactively manage public relations associated with incidents and employ appropriate measures to prevent further reputational damage and develop plans to repair any damage to the organization's reputation.","Incident Response (IRO) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Incident response operations are decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for incident response operations. o Implement and maintain an incident response capability using a documented and tested Incident Response Plan (IRP) to facilitate incident management operations that cover preparation, detection and analysis, containment, eradication and recovery.","Incident Response (IR) processes are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, scalable and integrated team of formally-assigned cybersecurity, IT, data privacy and business function representatives that can perform coordinated incident response. • The ISIRT, or similar function, develops and maintains a documented, program-level Integrated Incident Response Program (IIRP) that provides operational and tactical-level guidance for cybersecurity & data privacy response operations. • A Security Operations Center (SOC), or similar function, facilitates incident management operations that includes preparation, detection and analysis, containment, eradication and recovery. • Business Process Owners (BPOs), in conjunction with the SOC and ISIRT functions, develop and maintain a documented Incident Response Plan (IRP) specific to the business process / business unit but inclusive of the organization’s larger approach to incident response operations. • An IT Asset Management (ITAM) function, or similar function, categorizes endpoint devices according to the data the asset stores, transmits and/ or processes and provides that information to the SOC for Incident Response Operations (IRO). • The ISIRT components from the legal department and corporate communications coordinate with the Chief Information Security Officer (CISO) for public relations and reputation repair activities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to proactively manage public relations associated with incidents and employ appropriate measures to prevent further reputational damage and develop plans to repair any damage to the organization's reputation.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively manage public relations associated with incidents and employ appropriate measures to prevent further reputational damage and develop plans to repair any damage to the organization's reputation.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IR-4(15),,,,,IR-4(16),,,,,,,,,,,,,,,,,,"RC.CO-1 RC.CO-2 RC.CO-3",RC.CO-04,,,,,,,,,,,,,J.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.7.5(91),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 33(1) Article 33(2) Article 33(3)(a) Article 33(3)(b) Article 33(3)(c) Article 33(3)(d) Article 33(4) Article 33(5) Article 34(1) Article 34(2) Article 34(3)(a) Article 34(3)(b) Article 34(3)(c) Article 33(4)",,,,,,,,,,,,,,,,,,,,,,,,,"7.7.5 7.7.6 7.7.7",,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Information Assurance (IA) Operations,IAO-01,Mechanisms exist to facilitate the implementation of cybersecurity & data privacy assessment and authorization controls. ,"- Information Assurance (IA) program - VisibleOps security management",E-IAO-01,Does the organization facilitate the implementation of cybersecurity & data privacy assessment and authorization controls? ,10,Protect,X,X,X,There is no evidence of a capability to facilitate the implementation of cybersecurity & data privacy assessment and authorization controls. ,"Information Assurance (IA) is ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized. • IT personnel implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Business process owners (BPOs) are made aware of cybersecurity & data privacy risk(s). • IAP controls are primarily administrative in nature (e.g., policies & standards) to manage technical controls for cybersecurity & data privacy requirements. • IAP testing results in a formal risk assessment where BPOs are required to make a decision to (1) reduce, (2) avoid, (3) transfer and/ or (4) accept risk(s) on behalf of the organization.","Information Assurance (IAO) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Information Assurance (IA) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for IA. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to IA. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including IA. • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • Business Process Owners (BPOs) are made aware of cybersecurity & data privacy risk(s). • IAP controls are primarily administrative in nature (e.g., policies & standards) to manage technical controls for cybersecurity & data privacy requirements. • IAP testing results in a formal risk assessment where BPOs are required to make a decision to (1) reduce, (2) avoid, (3) transfer and/ or (4) accept risk(s) on behalf of the organization.","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of cybersecurity & data privacy assessment and authorization controls. ",CC4.1,,,,,,,BAI03.08,Principle 16,,IOT-01,"SO23 SO24",,,"RQ-05-17 RQ-06-23",,,,,5.21,,,,,,,,,,"GOVERN 4.3 MEASURE 2.13 MANAGE 1.1",,,"A-2 C-2 C-3 I-1 M-1 M-4 M-6 R-1 R-4 R-5 S-1 S-2 S-5",3.2,"CA-1 PM-10",CA-1,CA-1,CA-1,"CA-1 PM-10",CA-1,CA-1,CA-1,CA-1,PM-10,,CA-1,CA-1,CA-1,,"CA-1 PM-10",CA-1,,"CA-1 PM-10","CA-1 PM-10",CA-1,NFO - CA-1,3.12.1,,,,,,,,,,,,,,,,,,,C.5,,,,"7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 9.1","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 9.1",,"COMP:SG1.SP1 TM:SG3.SP1 TM:SG3.SP2 TM:SG4.SP4",,,,,,,,,"CA-1 PM-10",,,,,,,"§ 11.10 § 11.10(a) § 11.10(b) § 11.10(c) § 11.10(d) § 11.10(e) § 11.10(f) § 11.10(g) § 11.10(h) § 11.10(i) § 11.10(j) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2) § 11.300(e)",CA-1 ,CA-1 ,CA-1 ,CA-1 ,CA-1 ,CA-1,CA-1,CA-1,CA-1,CA-1,,,,,,,,,9.L.C,"CA-1 PM-10",,,"8-200 8-201 8-202 8-303 8-610",,,,,,,CA-1 ,CA-1 ,CA-1 ,"III.F III.F.1 III.F.2.a III.F.2.b",,,,,,,,,,,,,,,,,"CA-1 PM-10",CA-1,CA-1,,,,"3.4.6(41) 3.4.6(42) 3.4.6(43) 3.4.6(43)(a) 3.4.6(43)(b) 3.4.6(44) 3.4.6(45) 3.4.6(46) 3.4.6(47) 3.4.6(48) 3.6.2(70)",,,"Art 32.1 Art 32.2 Art 32.3",,,,"Sec 14 Sec 15",Art 16,,,,,,7.11,,,,,"10.6 16.5 17.1 17.16 17.18",,,,,,,,,,"Article 11.1 Article 11.2 Article 11.3 Article 11.4 Article 11.5 Article 11.6 Article 11.7 Article 11.8",,,TPC-51,,,1-4-1-2,,,"Sec 19 Sec 60",,,,,,,A2.b,,,,,,,,,,"0027 1525 0280",,,,,,,,,,,,,19.1,"2.2.5.C.01 4.4.4.C.01 4.4.5.C.01 4.4.5.C.02 4.4.5.C.03 4.4.5.C.04 4.4.6.C.01 4.4.7.C.01 4.4.7.C.02 4.4.8.C.01 4.4.8.C.02 4.4.8.C.03 4.4.8.C.04 4.4.9.C.01 4.4.10.C.01 4.4.11.C.01 4.4.12.C.01 4.4.12.C.02 4.4.12.C.03 4.4.12.C.04 4.4.12.C.05",,,,,"5.1.2 5.4.1 5.4.2 5.4.3 5.4.4 5.6.1 5.6.2 5.6.3 5.7.1 5.7.2",,,,,,5.14,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Information Assurance ,Assessment Boundaries,IAO-01.1,"Mechanisms exist to establish the scope of assessments by defining the assessment boundary, according to people, processes and technology that directly or indirectly impact the confidentiality, integrity, availability and safety of the data and systems under review.",,E-AST-02,"Does the organization establish the scope of assessments by defining the assessment boundary, according to people, processes and technology that directly or indirectly impact the confidentiality, integrity, availability and safety of the data and systems under review?",9,Identify,X,X,,"There is no evidence of a capability to establish the scope of assessments by defining the assessment boundary, according to people, processes and technology that directly or indirectly impact the confidentiality, integrity, availability and safety of the data and systems under review.","SP-CMM1 is N/A, since a structured process is required to establish the scope of assessments by defining the assessment boundary, according to people, processes and technology that directly or indirectly impact the confidentiality, integrity, availability and safety of the data and systems under review.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish the scope of assessments by defining the assessment boundary, according to people, processes and technology that directly or indirectly impact the confidentiality, integrity, availability and safety of the data and systems under review.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish the scope of assessments by defining the assessment boundary, according to people, processes and technology that directly or indirectly impact the confidentiality, integrity, availability and safety of the data and systems under review.",,CC2.2-POF9,,,,,,,,,,,,,"RQ-05-17 RQ-06-23 RQ-06-30.a RQ-06-30.b RQ-06-30.c RQ-06-30.d RQ-09-01.a RQ-09-01.b RQ-09-01.c RQ-09-02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.14.3e,,,,,,,,,,,,,,,,C.5,,,,,,,,,,,,TBD - 3.14.3e,,,SI.L3-3.14.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.F.2.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A2.b,,,,,,,,,,,,,,,,,,,,,,,,"5.8.61.C.01 5.8.61.C.02 5.8.61.C.03",,,,,"5.7.1 5.7.2",,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Assessments ,IAO-02,"Mechanisms exist to formally assess the cybersecurity & data privacy controls in systems, applications and services through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements.","- Information Assurance (IA) program - VisibleOps security management - Information Assurance Program (IAP) ",,"Does the organization formally assess the cybersecurity & data privacy controls in systems, applications and services through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements?",10,Protect,,X,X,"There is no evidence of a capability to formally assess the cybersecurity & data privacy controls in systems, applications and services through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements.","Information Assurance (IA) is ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized. • IT personnel implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process.","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to formally assess the cybersecurity & data privacy controls in systems, applications and services through Information Assurance Program (IAP) activities to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting expected requirements.",CC4.1,,,,,,,BAI03.08,Principle 16,,,SO23,,,"RQ-05-17 RQ-06-24 RQ-06-25 RQ-06-26 RQ-06-27 RQ-06-28.a RQ-06-28.b RQ-06-29",,,,14.2.8 ,"5.21 5.23 8.29",14.2.8 ,,6.11.2.8,,,5.3.2,"T1190, T1195, T1195.001, T1195.002, T1210",,,"MEASURE 2.0 MEASURE 2.1 MEASURE 2.2 MEASURE 2.3 MEASURE 2.4 MEASURE 2.5 MEASURE 2.6 MEASURE 2.7 MEASURE 2.8 MEASURE 2.9 MEASURE 2.9 MEASURE 2.10 MEASURE 2.11 MEASURE 2.12 MEASURE 2.13",,,A-1,3.2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,,,CA-2,CA-2,CA-2,,CA-2,CA-2,,,CA-2,CA-2,3.12.1,3.12.1,,A.03.12.01,"3.14.1e 3.14.7e",,,,,,,,,,,,,,,,C.5.3,,,,7.3.6,7.3.6,,RISK:SG3.SP1,,,,CA.L2-3.12.1,"TBD - 3.14.1e TBD - 3.14.7e",,CA.L2-3.12.1,"CA.L2-3.12.1 SI.L3-3.14.1e",CA-2,,"252.204-7020(c) 252.204-7021(b)",,,,,,CA-2 ,CA-2 ,CA-2 ,CA-2 ,CA-2 ,CA-2,CA-2,CA-2,CA-2,CA-2,,,,,,,,,9.L.C,CA-2,,,8-610,,,,,,,CA-2 ,CA-2 ,CA-2 ,III.F.2.b,,,,,,,,,17.03(2)(h),,,,"622(2)(B)(i) 622(2)(B)(ii) 622(2)(B)(iii) 622(2)(B)(iv) ",,,,CA-2,CA-2,CA-2,,,,"3.4.6(41) 3.4.6(42) 3.4.6(43) 3.4.6(43)(a) 3.4.6(43)(b) 3.4.6(44) 3.4.6(45) 3.4.6(46) 3.4.6(47) 3.4.6(48) 3.6.2(70) 3.6.2(71)",,,,,,,,,,,,,,7.11,,,,,"10.6 16.5 17.2 17.16 17.18",,,,,,,,,,"Article 11.1 Article 11.2",,,,,,,,,,,,,,,,A2.b,,,,,,,,,,0100,,,,,,,,,,,14.2.8,,,"4.2.10.C.01 4.3.20.C.01 4.3.20.C.02 4.3.20.C.03 6.3.8.C.01",,,,,"5.7.1 5.7.2",,,,,,5.14,,,,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Information Assurance ,Assessor Independence,IAO-02.1,Mechanisms exist to ensure assessors or assessment teams have the appropriate independence to conduct cybersecurity & data privacy control assessments. ,"- Information Assurance (IA) program - VisibleOps security management",,Does the organization ensure assessors or assessment teams have the appropriate independence to conduct cybersecurity & data privacy control assessments? ,9,Protect,X,X,,There is no evidence of a capability to ensure assessors or assessment teams have the appropriate independence to conduct cybersecurity & data privacy control assessments. ,"Information Assurance (IA) is ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized. • IT personnel implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to ensure assessors or assessment teams have the appropriate independence to conduct cybersecurity & data privacy control assessments. ","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • Administrative processes exist to ensure assessors or assessment teams have the appropriate independence to conduct cybersecurity & data privacy control assessments. ","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure assessors or assessment teams have the appropriate independence to conduct cybersecurity & data privacy control assessments. ",CC4.1,,,,,,,,Principle 16,,,,,,RQ-05-17,,,,,,,,,,,"6.1 6.2 6.3 6.4 6.5",,,,,,,A-1,,CA-2(1),,CA-2(1),CA-2(1),CA-2(1),,,CA-2(1),CA-2(1),,,,CA-2(1),CA-2(1),,,,,,,,NFO - CA-2(1),,,,,,,,,,,,,,,,,,,,B.1.1.28,,,,,,,,,,,,,,,,CA-2(1),,,,,,,,CA-2(1) ,CA-2(1) ,CA-2(1) ,CA-2(1) ,CA-2(1) ,CA-2(1),CA-2(1),CA-2(1),CA-2(1),CA-2(1),,,,,,,,,9.L.C,CA-2(1),,,,,,,,,,CA-2(1) ,CA-2(1) ,CA-2(1) ,,,,,,,,,,,,,,,,,,,CA-2(1),CA-2(1),,,,,,,,,,,,,,,,,,,,,,,"17.2 17.16",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.3.16.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Specialized Assessments,IAO-02.2,"Mechanisms exist to conduct specialized assessments for: ▪ Statutory, regulatory and contractual compliance obligations; ▪ Monitoring capabilities; ▪ Mobile devices; ▪ Databases; ▪ Application security; ▪ Embedded technologies (e.g., IoT, OT, etc.); ▪ Vulnerability management; ▪ Malicious code; ▪ Insider threats and ▪ Performance/load testing. ","- Information Assurance (IA) program - VisibleOps security management - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization conduct specialized assessments for: ▪ Statutory, regulatory and contractual compliance obligations; ▪ Monitoring capabilities; ▪ Mobile devices; ▪ Databases; ▪ Application security; ▪ Embedded technologies (e?g?, IoT, OT, etc?); ▪ Vulnerability management; ▪ Malicious code; ▪ Insider threats and ▪ Performance/load testing? ",9,Protect,,,X,"There is no evidence of a capability to conduct specialized assessments for: ▪ Statutory, regulatory and contractual compliance obligations; ▪ Monitoring capabilities; ▪ Mobile devices; ▪ Databases; ▪ Application security; ▪ Embedded technologies (e.g., IoT, OT, etc.); ▪ Vulnerability management; ▪ Malicious code; ▪ Insider threats and ▪ Performance/load testing. ","Information Assurance (IA) is ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized. • IT personnel implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes and technologies exist to conduct specialized assessments for specific statutory, regulatory and contractual compliance obligations, as well as business-critical technologies. ","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • Administrative processes and technologies exist to conduct specialized assessments for specific statutory, regulatory and contractual compliance obligations, as well as business-critical technologies. ","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct specialized assessments for: ▪ Statutory, regulatory and contractual compliance obligations; ▪ Monitoring capabilities; ▪ Mobile devices; ▪ Databases; ▪ Application security; ▪ Embedded technologies (e.g., IoT, OT, etc.); ▪ Vulnerability management; ▪ Malicious code; ▪ Insider threats and ▪ Performance/load testing. ",CC4.1,,,,,,,,Principle 16,AIS-05,IOT-01,,,,RQ-05-17,,,,,"5.21 5.23 8.29",,,,,,"5.3.2 6.1 6.2 6.3 6.4 6.5",,,,"MAP 2.3 MEASURE 3.0 MEASURE 3.1 MEASURE 3.2",,,"A-1 A-2",3.2,CA-2(2),,,CA-2(2),"CA-2(2) SA-11(5)",,,,CA-2(2),SA-11(5),,,,CA-2(2),,CA-2(2),,,,,CA-2(2),,,,,"3.14.1e 3.14.7e",,,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,,,,,,,,,,,A.3.11,,,,,,,,,,,,"TBD - 3.14.1e TBD - 3.14.7e",,,SI.L3-3.14.1e,,,,,,,,,CA-2(2) ,,CA-2(2) ,CA-2(2) ,,CA-2(2),,,CA-2(2),,,,,,,,,,9.L.C,SA-11(5),,,,,,,,,,,,CA-2(2) ,III.F.2.c,,,,,,,,,,,,,,,,,,,CA-2(2),,,,"3.6.2(70) 3.6.2(71)",,,,,,,,,,,,,,7.11,,,,,"17.2 17.16",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0100 1570",,,,,,,,,,,,,,"4.3.20.C.01 4.3.20.C.02 4.3.20.C.03",,,,,5.7.4,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Third-Party Assessments,IAO-02.3,"Mechanisms exist to accept and respond to the results of external assessments that are performed by impartial, external organizations. ","- Audit steering committee - Information Assurance (IA) program - VisibleOps security management",,"Does the organization accept and respond to the results of external assessments that are performed by impartial, external organizations? ",9,Protect,,,X,"There is no evidence of a capability to accept and respond to the results of external assessments that are performed by impartial, external organizations. ","Information Assurance (IA) is ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized. • IT personnel implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to enable the organization to accept and respond to the results of external assessments that are performed by impartial, external organizations. ","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • Administrative processes exist to enable the organization to accept and respond to the results of external assessments that are performed by impartial, external organizations. ","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to accept and respond to the results of external assessments that are performed by impartial, external organizations. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-2(3),,,,CA-2(3),,,,,CA-2(3),,,,,,CA-2(3),,,,,CA-2(3),,,,,,,,,,,,,,,,,,,,,B.1.1.28,,,,9.1.2,9.1.2,,,,,,,,,,,,,,,,,,,CA-2(3) ,,CA-2(3) ,CA-2(3) ,,CA-2(3),,CA-2(3),CA-2(3),,,,,,,,,,9.L.C,,,,,,,,,,,,,CA-2(3) ,,,,,,,,,,,,,,,,,,,,CA-2(3),,,,,,,,,,,,,,,,,,,,,,,"17.2 17.16",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0100,,,,,,,,,,,,,,"4.3.16.C.01 4.3.20.C.01 4.3.20.C.02 4.3.20.C.03 5.8.62.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Security Assessment Report (SAR),IAO-02.4,Mechanisms exist to produce a Security Assessment Report (SAR) at the conclusion of a security assessment to certify the results of the assessment and assist with any remediation actions.,,,Does the organization produce a Security Assessment Report (SAR) at the conclusion of a security assessment to certify the results of the assessment and assist with any remediation actions?,7,Identify,,X,,There is no evidence of a capability to produce a Security Assessment Report (SAR) at the conclusion of a security assessment to certify the results of the assessment and assist with any remediation actions.,"SP-CMM1 is N/A, since a structured process is required to produce a Security Assessment Report (SAR) at the conclusion of a security assessment to certify the results of the assessment and assist with any remediation actions.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Business process owners (BPOs) are made aware of cybersecurity & data privacy risk(s). • IAP testing results in a formal risk assessment where BPOs are required to make a decision to (1) reduce, (2) avoid, (3) transfer and/ or (4) accept risk(s) on behalf of the organization.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • IAP controls are primarily administrative in nature (e.g., policies & standards) to manage technical controls for cybersecurity & data privacy. • IAP testing results in a formal risk assessment where BPOs are required to make a decision to (1) reduce, (2) avoid, (3) transfer and/ or (4) accept risk(s) on behalf of the organization. • Business Process Owners (BPOs) are made aware of cybersecurity & data privacy risk(s). • IAP testing results in a formal risk assessment where BPOs are required to make a decision to (1) reduce, (2) avoid, (3) transfer and/ or (4) accept risk(s) on behalf of the organization.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to produce a Security Assessment Report (SAR) at the conclusion of a security assessment to certify the results of the assessment and assist with any remediation actions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to produce a Security Assessment Report (SAR) at the conclusion of a security assessment to certify the results of the assessment and assist with any remediation actions.",,,,,,,,,,,,,,,"RQ-06-31 RQ-06-32",,,,,,,,,,,,,,,"MEASURE 2.7 MEASURE 2.8 MEASURE 2.10 MEASURE 2.11 MEASURE 2.12",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.7.1,,,,9.1.1,9.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A2.b,,,,,,,,,,1563,,,,,,,,,,,,,,"4.2.11.C.01 4.2.12.C.01 4.3.21.C.01 4.5.17.C.01 6.3.8.C.01",,,,,5.7.6,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,System Security & Privacy Plan (SSPP),IAO-03,"Mechanisms exist to generate System Security & Privacy Plans (SSPPs), or similar document repositories, to identify and maintain key architectural information on each critical system, application or service, as well as influence inputs, entities, systems, applications and processes, providing a historical record of the data and its origins.","- Information Assurance (IA) program - VisibleOps security management",E-TDA-14,"Does the organization generate System Security & Privacy Plans (SSPPs), or similar document repositories, to identify and maintain key architectural information on each critical system, application or service, as well as influence inputs, entities, systems, applications and processes, providing a historical record of the data and its origins?",7,Identify,,,X,"There is no evidence of a capability to generate System Security & Privacy Plans (SSPPs), or similar document repositories, to identify and maintain key architectural information on each critical system, application or service, as well as influence inputs, entities, systems, applications and processes, providing a historical record of the data and its origins.","SP-CMM1 is N/A, since a structured process is required to generate System Security & Privacy Plans (SSPPs), or similar document repositories, to identify and maintain key architectural information on each critical system, application or service, as well as influence inputs, entities, systems, applications and processes, providing a historical record of the data and its origins.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to ensure Business process owners (BPOs) develop and maintain System Security Plans (SSPs) or similar documentation, to identify and maintain key architectural information for each business-critical system, application or service.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • Administrative processes exist to ensure Business Process Owners (BPOs) develop and maintain System Security Plans (SSPs) or similar documentation, to identify and maintain key architectural information for each business-critical system, application or service.","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate System Security & Privacy Plans (SSPPs), or similar document repositories, to identify and maintain key architectural information on each critical system, application or service, as well as influence inputs, entities, systems, applications and processes, providing a historical record of the data and its origins.",,CC2.3-POF8,,,,,,,,,,,,,"RQ-06-02.a RQ-06-02.b RQ-06-02.c RQ-06-03.a RQ-06-03.b RQ-06-03.c RQ-06-03.d RQ-06-03.e RQ-06-03.f RQ-06-05.a RQ-06-05.b RQ-06-06 RQ-06-07 RQ-06-09 RQ-06-10 RQ-06-11 RQ-06-12 RQ-06-33.a RQ-06-33.b RQ-06-33.c RQ-06-34.a RQ-06-34.b RQ-06-34.c RQ-09-01.a RQ-09-01.b RQ-09-01.c RQ-09-02 RQ-09-08.a RQ-09-08.b RQ-09-09",,,,,,,,,,,5.5,,,,,"ID.IM-P7 ID.IM-P8 ID.BE-P3 CM.AW-P6 PR.PO-P4",,"C-2 S-4",,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,,,PL-2,PL-2,PL-2,,PL-2,PL-2,PL-2,,,PL-2,3.12.4,"3.15.2.a 3.15.2.a.1 3.15.2.a.2 3.15.2.a.3 3.15.2.a.4 3.15.2.a.5 3.15.2.a.6 3.15.2.a.7 3.15.2.b 3.15.2.c",,"A.03.15.02.a.01 A.03.15.02.a.02 A.03.15.02.a.03 A.03.15.02.a.04 A.03.15.02.a.05 A.03.15.02.a.06 A.03.15.02.a.07 A.03.15.02.b[01] A.03.15.02.b[02] A.03.15.02.c","3.11.4e 3.14.3e",,,ID.IM-04,,,,,,,,,,,,,K.20,,,,"7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h)","7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h)",,"AM:SG1.SP1 EF:SG2.SP1 TM:SG1.SP1 TM:SG2.SP1 TM:SG2.SP2",,5.7.2,,CA.L2-3.12.4,"CA.L2-3.12.4 TBD - 3.11.4e TBD - 3.14.3e",,CA.L2-3.12.4,"CA.L2-3.12.4 RA.L3-3.11.4e SI.L3-3.14.3e",PL-2,,,,,,,,PL-2 ,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,PL-2,,,,,,,,,9.L.C,PL-2,,"CIP-003-6 R2","8-311 8-610",12.1,,,,,5.2,PL-2,PL-2,PL-2,"III.B.2 III.B.2.a III.B.2.b",,,,,,,,,,,,,,,,,PL-2,PL-2,PL-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 11.1,,,,,,,,,,,,,,,,B3.a,,,,,,,,,,"0041 0432",,,,,,,,,,,,,,"3.4.12.C.01 3.4.12.C.02 4.3.17.C.01 4.3.18.C.01 4.3.18.C.02 4.3.18.C.03 4.3.18.C.04 4.3.18.C.05 5.1.8.C.01 5.1.9.C.01 5.1.10.C.01 5.4.5.C.01 5.4.5.C.02 5.4.5.C.03",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Plan / Coordinate with Other Organizational Entities,IAO-03.1,Mechanisms exist to plan and coordinate Information Assurance Program (IAP) activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations. ,"- Audit steering committee - Information Assurance (IA) program - VisibleOps security management - Information Assurance Program (IAP) ",,Does the organization plan and coordinate Information Assurance Program (IAP) activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations? ,5,Protect,,X,X,There is no evidence of a capability to plan and coordinate Information Assurance Program (IAP) activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations. ,"SP-CMM1 is N/A, since a structured process is required to plan and coordinate Information Assurance Program (IAP) activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations. ","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to coordinate IAP activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations. ","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • Administrative processes exist to coordinate IAP activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations. ","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to plan and coordinate Information Assurance Program (IAP) activities with affected stakeholders before conducting such activities in order to reduce the potential impact on operations. ",CC4.1,,,,,,,,Principle 16,,,,,,,,,,,,,,,,,,,,,,,,P-9,,PL-2(3),,PL-2(3),PL-2(3),PL-2,PL-2,PL-2,PL-2,PL-2,,,PL-2,PL-2,PL-2,,PL-2,PL-2,PL-2,,,PL-2,NFO - PL-2(3),,,,,,,,,,,,,,,,,,,,I.2.5.4,,,,,,,,,,,,,,,,PL-2(3),,,,,,,,PL-2(3) ,,PL-2(3) ,PL-2(3) ,,,,,,,,,,,,,,,,PL-2,,,,,,,,,,,,PL-2(3) ,,,,,,,,,,,,,,,,,,PL-2,,PL-2(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Adequate Security for Sensitive / Regulated Data In Support of Contracts,IAO-03.2,"Mechanisms exist to protect sensitive / regulated data that is collected, developed, received, transmitted, used or stored in support of the performance of a contract. ","- Information Assurance (IA) program - VisibleOps security management",,"Does the organization protect sensitive / regulated data that is collected, developed, received, transmitted, used or stored in support of the performance of a contract? ",7,Protect,X,X,X,"There is no evidence of a capability to protect sensitive / regulated data that is collected, developed, received, transmitted, used or stored in support of the performance of a contract. ","SP-CMM1 is N/A, since a structured process is required to protect sensitive / regulated data that is collected, developed, received, transmitted, used or stored in support of the performance of a contract. ","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes and technologies exist to protect sensitive/regulated data that is collected, developed, received, transmitted, used or stored in support of the performance of a contract. ","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process. • Administrative processes and technologies exist to protect sensitive/regulated data that is collected, developed, received, transmitted, used or stored in support of the performance of a contract. ","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect sensitive / regulated data that is collected, developed, received, transmitted, used or stored in support of the performance of a contract. ",,,,15.4,,15.4,15.4,,,"DSP-17 IPY-04 STA-04 STA-09",CLS-04,,,,,,,,,,,,,,,,,,,MAP 1.6,ID.DE-P3,,P-17,,,,,,,,,,,,,,,,,,,,,,,3.12.4,,,,,,,"GV.OC-05 GV.SC-10",,,,,,,,,,,,,"B.1.1.2.9 ",,,,,,,,,"5.1.1.2 5.1.1.3 5.1.1.4 5.1.1.5 5.1.1.6 5.1.1.7 5.1.1.8",,CA.L2-3.12.4,,,CA.L2-3.12.4,CA.L2-3.12.4,,,252.204-7012,,,,,,,,,,,,,,,,,,,,,164.308(b)(3),,,,2.C.9,,,,,,,,,5.11,,,,,,,,,"6-1-1305(3)(b) 6-1-1305(5) 6-1-1305(5)(a) 6-1-1305(5)(b) 6-1-1305(5)(c) 6-1-1305(5)(d) 6-1-1305(5)(d)(I) 6-1-1305(5)(d)(I)(A) 6-1-1305(5)(d)(I)(B) 6-1-1305(6)",,,"Sec 45(a) Sec 45(b) Sec 45(c) Sec 45(d) Sec 50",,,,,,,,,,,,,,,,,,,,,"Principle 2.3.b(i) Principle 2.3.b(ii) Principle 2.3.b(iii) Principle 2.3.b(iv) Principle 2.3.b(v) Principle 2.3.b(vi) Principle 2.7.a.i Principle 2.7.a.ii Principle 2.7.a.iii Principle 2.7.b Principle 2.7.c Principle 2.7.d Principle 3.10.a.i Principle 3.10.a.ii Principle 3.10.a.ii.1 Principle 3.10.a.ii.2 Principle 3.10.a.ii.3 Principle 3.10.a.iii Principle 3.10.b.i Principle 3.10.c.i",,,,,,,,,"HR-06 PI-02",,,,16.5,,,,,,,,,,,,,TPC-25,,,,"Article 5 Article 11",,,,,,,,,A4.a,,,,"Article 3 Article 26(1) Article 26(2) Article 26(3) Article 28(1) Article 28(2) Article 28(3)(a) Article 28(3)(b) Article 28(3)(c) Article 28(3)(d) Article 28(3)(e) Article 28(3)(f) Article 28(3)(g) Article 28(3)(h) Article 28(4) Article 28(5) Article 28(6) Article 28(7) Article 28(8) Article 28(9) Article 28(10) Article 29",,,,,,"0072 1571 1451 1572 1573 1574 1575",,,,,,,,,,Article 22,,,,2.2.5.C.02,"Principle 5 P5-(a) P5-(a)(i) P5-(a)(ii) P5-(a)(iii) P5-(b)",,,,5.4.3,,,,,,,,"4.26 4.28",,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Threat Analysis & Flaw Remediation During Development,IAO-04,Mechanisms exist to require system developers and integrators to create and execute a Security Test and Evaluation (ST&E) plan to identify and remediate flaws during development.,"- Information Assurance (IA) program - VisibleOps security management - Security Test & Evaluation (ST&E)",,Does the organization require system developers and integrators to create and execute a Security Test and Evaluation (ST&E) plan to identify and remediate flaws during development?,10,Protect,X,X,X,There is no evidence of a capability to require system developers and integrators to create and execute a Security Test and Evaluation (ST&E) plan to identify and remediate flaws during development.,"SP-CMM1 is N/A, since a structured process is required to require system developers and integrators to create and execute a Security Test and Evaluation (ST&E) plan to identify and remediate flaws during development.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process.","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require system developers and integrators to create and execute a Security Test and Evaluation (ST&E) plan to identify and remediate flaws during development.","CC4.1 CC4.2",,,,,,,"DSS06.04 MEA01.05","Principle 16 Principle 17",,,,,,"PM-06-08 RQ-15-17.a RQ-15-17.b RQ-15-17.c RQ-15-17.d",,,,,8.25,,,,,,"5.3.2 5.3.3 5.3.4 5.3.5 5.3.6",,,,,,,,,,,,,SA-11(5),,,,,SA-11(5),,,,,,,,,,,,,,,,,"PW.2 PW.2.1 RV.1 RV.1.1 RV.1.2 RV.1.3 RV.2 RV.2.1 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4",,"ID.RA-01 ID.RA-06","A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",6.6,"6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4 12.4.2.1 A1.2.3",6.3.1,"6.2.1 6.2.2 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4",,6.3.1,"6.2.1 6.2.2 6.2.3.1 6.2.4 6.3.1",6.3.1,"6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4","6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4 12.4.2.1",,I.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.L.C,SA-11(5),,,,,6.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 21.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6.2.5.C.01 6.2.6.C.01",,,,,5.7.5,,,,,,,,2.7,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Plan of Action & Milestones (POA&M),IAO-05,"Mechanisms exist to generate a Plan of Action and Milestones (POA&M), or similar risk register, to document planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities.","- Information Assurance (IA) program - VisibleOps security management - Plan of Action & Milestones (POA&M)",,"Does the organization generate a Plan of Action and Milestones (POA&M), or similar risk register, to document planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities?",9,Detect,,X,X,"There is no evidence of a capability to generate a Plan of Action and Milestones (POA&M), or similar risk register, to document planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities.","SP-CMM1 is N/A, since a structured process is required to generate a Plan of Action and Milestones (POA&M), or similar risk register, to document planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process.","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate a Plan of Action and Milestones (POA&M), or similar risk register, to document planned remedial actions to correct weaknesses or deficiencies noted during the assessment of the security controls and to reduce or eliminate known vulnerabilities.",CC4.2,CC4.2-POF3,,,,,,"APO12.05 MEA01.05 MEA02.04",Principle 17,A&A-06,,,,,"RQ-09-05 RQ-09-06.a RQ-09-06.b",,,,,,,,,,"5.6 5.7",5.5,,,,"MANAGE 1.4 MEASURE 3.0 MEASURE 3.1 MEASURE 3.2 MANAGE 1.1 MANAGE 1.2 MANAGE 1.3 MANAGE 1.4 MANAGE 3.1 MANAGE 4.0",,RV.2.2,"A-6 R-3","3.2 3.3 3.4","CA-5 PM-4",CA-5,CA-5,CA-5,"CA-5 PM-4 SA-15(2)",CA-5,CA-5,CA-5,CA-5,"PM-4 SA-15(2)",,CA-5,CA-5,CA-5,,"CA-5 PM-4",CA-5,,,"CA-5 PM-4","CA-5 PM-4",3.12.2,"3.12.2.a 3.12.2.a.1 3.12.2.a.2 3.12.2.b",,"A.03.12.02.a.01 A.03.12.02.a.02 A.03.12.02.b[01] A.03.12.02.b[02] A.03.12.02.b[03]",,,,,,,,,,,,,,,,,A.4.7,,,,,,"RISK-2.E.MIL2 RISK-2.F.MIL2 RISK-3.F.MIL2","EC:SG3.SP2 EF:SG2.SP1 EF:SG2.SP2 EF:SG4.SP3 OPF:SG2.SP2 KIM:SG3.SP2 PM:SG2.SP2 RISK:SG5.SP1 TM:SG3.SP2",,,,CA.L2-3.12.2,CA.L2-3.12.2,,CA.L2-3.12.2,CA.L2-3.12.2,"CA-5 PM-4",,,,,,,,CA-5 ,CA-5 ,CA-5 ,CA-5 ,CA-5 ,CA-5,CA-5,CA-5,CA-5,CA-5,,,,,,,,,9.L.C,"2.D.9 2.E.5 CA-5 PM-4",,,"8-311 8-610",4.2,,,,,,CA-5 ,CA-5 ,CA-5 ,"III.C.1.b III.C.2 III.C.3 III.E.3",,,,,,,,,,,,,,,,,"CA-5 PM-4",CA-5,CA-5,,,,3.3.1(13)(d),,,,Article 21.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-3-1-6,,,,,,,,,,,,,,,,,,,,1564,,,,,,,,,,,,,,"4.2.12.C.01 6.3.8.C.01",,,,,4.5.2,,,,,,,,5.9,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Plan of Action & Milestones (POA&M) Automation,IAO-05.1,"Automated mechanisms exist to help ensure the Plan of Action and Milestones (POA&M), or similar risk register, is accurate, up-to-date and readily-available.","- Governance, Risk & Compliance (GRC)",,"Does the organization use automated mechanisms to help ensure the Plan of Action and Milestones (POA&M), or similar risk register, is accurate, up-to-date and readily-available?",2,Detect,,,X,"There is no evidence of a capability to help ensure the Plan of Action and Milestones (POA&M), or similar risk register, is accurate, up-to-date and readily-available.","SP-CMM1 is N/A, since a structured process is required to help ensure the Plan of Action and Milestones (POA&M), or similar risk register, is accurate, up-to-date and readily-available.","SP-CMM2 is N/A, since a well-defined process is required to help ensure the Plan of Action and Milestones (POA&M), or similar risk register, is accurate, up-to-date and readily-available.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to help ensure the Plan of Action and Milestones (POA&M), or similar risk register, is accurate, up-to-date and readily-available.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to help ensure the Plan of Action and Milestones (POA&M), or similar risk register, is accurate, up-to-date and readily-available.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-5(1),,,,CA-5(1),,,,,CA-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-GV-1 R-GV-4 R-GV-5 R-SA-1",,,,,,,,,,,,,,,,,,,,R-GV-1,,,R-GV-4,R-GV-5,,,,,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Information Assurance ,Technical Verification,IAO-06,"Mechanisms exist to perform Information Assurance Program (IAP) activities to evaluate the design, implementation and effectiveness of technical cybersecurity & data privacy controls.","- Information Assurance (IA) program - VisibleOps security management - Information Assurance Program (IAP) ",,"Does the organization perform Information Assurance Program (IAP) activities to evaluate the design, implementation and effectiveness of technical cybersecurity & data privacy controls?",8,Protect,,X,X,"There is no evidence of a capability to perform Information Assurance Program (IAP) activities to evaluate the design, implementation and effectiveness of technical cybersecurity & data privacy controls.","Information Assurance (IA) is ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized. • IT personnel implement and maintain an informal process to conduct limited control testing of High Value Assets (HVAs) to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process.","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform Information Assurance Program (IAP) activities to evaluate the design, implementation and effectiveness of technical cybersecurity & data privacy controls.",CC4.1,,,,,,,,Principle 16,,IOT-01,SO24,,,"RQ-09-07.a RQ-09-07.b RQ-09-07.c RQ-09-07.d",,,,,,,,,,,"5.3.2 5.3.3 5.3.4 5.3.5 5.3.6","T1190, T1195, T1195.001, T1195.002, T1210",,,"MEASURE 2.0 MEASURE 2.1 MEASURE 2.2 MEASURE 2.3 MEASURE 2.4 MEASURE 2.5 MEASURE 2.6 MEASURE 2.7 MEASURE 2.8 MEASURE 2.9 MEASURE 2.9 MEASURE 2.10 MEASURE 2.11 MEASURE 2.12 MEASURE 2.13",,,A-3,,"CA-2 CM-4(2)",CA-2,CA-2,CA-2,"CA-2 CM-4(2)",CA-2,CA-2,"CA-2 CM-4(2)","CA-2 CM-4(2)",,,CA-2,"CA-2 CM-4(2)","CA-2 CM-4(2)",,CA-2,CA-2,,,CA-2,CA-2,,,,,,,,,,,,,,,,,,,,,1.2.3.1,,,,7.3.6,7.3.6,,RISK:SG3.SP1,,,,,,,,,"CA-2 CM-4(2)",,,,,,,,,,,,,CM-4(2),,CM-4(2),CM-4(2),,,,,,,,,,,"CA-2 CM-4(2)",,,8-610,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-2,,,,,,"3.6.2(70) 3.6.2(71)",,,,,,,,,,,,,,,,,,,"10.6 16.5",,,,,,,,,,,,,,,,,,,,,,,,,,A2.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Information Assurance ,Security Authorization ,IAO-07,"Mechanisms exist to ensure systems, projects and services are officially authorized prior to ""go live"" in a production environment.","- Information Assurance (IA) program - VisibleOps security management",,"Does the organization ensure systems, projects and services are officially authorized prior to ""go live"" in a production environment?",10,Protect,X,X,X,"There is no evidence of a capability to ensure systems, projects and services are officially authorized prior to ""go live"" in a production environment.","SP-CMM1 is N/A, since a structured process is required to ensure systems, projects and services are officially authorized prior to ""go live"" in a production environment.","Information Assurance (IA) is requirements-driven and formally governed at a local/regional level, but not consistently across the enterprise. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Pre-production security testing is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for pre-production cybersecurity & data privacy control testing. • IT personnel implement and maintain an established a limited Information Assurance Program (IAP) capability to conduct limited control testing to meet specific statutory, regulatory and/ or contractual requirements for pre-production cybersecurity & data privacy control testing. • IAP operations focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Information Assurance (IA) is standardized across the enterprise and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity personnel implement and maintain an established Information Assurance Program (IAP) capability to conduct “business as usual” pre-production cybersecurity & data privacy control testing focused on the concept of “security and data privacy be design and by default.” • The IAP validates that systems/applications/services/processes are both secure and compliant. • A Governance, Risk & Compliance (GRC) function, or similar function, facilitates the implementation of cybersecurity & data privacy controls to ensure that secure engineering practices are designed and implemented throughout the lifecycle of systems, applications and services both internal and external to the organization. • A Project Management Office (PMO), or project management function, ensures project involvement for IAP as part of the organization’s established project management processes. • A Plan of Action and Milestones (POA&M) or similar mechanism, exists to document planned remediation actions to correct weaknesses or deficiencies noted during the assessment of the security controls, helping to reduce or eliminate known vulnerabilities. • Administrative processes prevent systems/applications/services/processes from “going live” in a production environment without first going through the IAP process. • The IAP uses a tiered approach to conformity testing, based on (1) the sensitivity of data that is stored, processed and/ or transmitted and (2) the criticality of the system/application/service/process.","Information Assurance (IA) is metrics driven and provides sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in the review process for proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure systems, projects and services are officially authorized prior to ""go live"" in a production environment.",,,,,,,,,,,IOT-01,,,,RQ-06-34.c,,,,,,,,6.11.2.9,,,5.5,,,,MANAGE 1.1,,,,,CA-6,CA-6,CA-6,CA-6,CA-6,CA-6,CA-6,CA-6,CA-6,,,CA-6,CA-6,CA-6,,CA-6,CA-6,,CA-6,CA-6,CA-6,,,,,,,,,,,,,,,,,,,,,I.2.5.3,,,,,,,"EF:SG4.SP1 RISK:SG2.SP1",,,,,,,,,CA-6,,,,,,,,CA-6 ,CA-6 ,CA-6 ,CA-6 ,CA-6 ,CA-6,CA-6,CA-6,CA-6,CA-6,,,,,,,,,,CA-6,,,"8-202 8-610 8-614",,,,,,,CA-6 ,CA-6 ,CA-6 ,,,,,,,,,,,,,,,,,,CA-6,CA-6,CA-6,,,,"3.6.2(70) 3.6.2(71)",,,,,,,,,,,,,,,,,,,"10.6 16.5",,,,,,,,,,,,,TPC-51,,,,,,,,,,,,,A2.b,,,,,,,,,,"0027 1525 0293",,,,,,,,,,,,,,"2.2.5.C.01 4.2.11.C.01 4.5.18.C.01 4.5.18.C.02 4.5.18.C.03 23.2.16.C.03 23.2.16.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Maintenance Operations ,MNT-01,"Mechanisms exist to develop, disseminate, review & update procedures to facilitate the implementation of maintenance controls across the enterprise.",,"E-MNT-02 E-MNT-04","Does the organization develop, disseminate, review & update procedures to facilitate the implementation of maintenance controls across the enterprise?",9,Protect,X,X,X,"There is no evidence of a capability to develop, disseminate, review & update procedures to facilitate the implementation of maintenance controls across the enterprise.","Maintenance (MNT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactive maintenance operations. • Facilities management uses an informal process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactive maintenance operations. • Maintenance operations are decentralized both in terms of change management and execution. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Asset custodians track maintenance activities and component failure rates.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for technology-related maintenance practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for technology-related maintenance. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to technology-related maintenance. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including technology-related maintenance. • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop, disseminate, review & update procedures to facilitate the implementation of maintenance controls across the enterprise.",,,,,,,,,,,OPA-01,,,,,,,,11.2.4 ,7.13,11.2.4 ,,6.8.2.4,,,,,TS-2.6,,,PR.MA-P1,,,,MA-1,MA-1,MA-1,MA-1,MA-1,,MA-1,MA-1,MA-1,,,MA-1,MA-1,MA-1,3.4.13,MA-1,MA-1,MA-1,MA-1,MA-1,MA-1,NFO - MA-1,"3.7.4.a 3.7.5.a 3.7.6.a 3.7.6.b 3.7.6.c 3.7.6.d",,,,,PR.MA-1,,A06:2021,,,,,,,,,,,,G.3.6,,,,,,,TM:SG4.SP1,,,,,,,,,MA-1,,,,,,,"§ 11.10 § 11.10(i) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)",MA-1 ,MA-1 ,MA-1 ,MA-1 ,MA-1 ,MA-1,MA-1,MA-1,MA-1,MA-1,,,,,,164.310(a)(2)iv),,,,MA-1,,,8-304,"9.1 9.2",,,,,,MA-1 ,MA-1 ,MA-1 ,,,,,,,,,,,,,,,,,,MA-1,MA-1,MA-1,,,,,,,"Art 32.1 Art 32.2",Article 21.2(e),,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,,,,,,,,,,,,,,TPC-78,,,2-13-1-7,,,Sec 19,,7.3.4 [OP.EXP.4],,,,,,,,,,,,,,,0305,,,,,,,,,,,11.2.4,,11.1,"12.5.3.C.01 12.5.3.C.02 12.5.6.C.01 12.5.6.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Maintenance,Controlled Maintenance ,MNT-02,"Mechanisms exist to conduct controlled maintenance activities throughout the lifecycle of the system, application or service.",- VisibleOps security management,E-MNT-04,"Does the organization conduct controlled maintenance activities throughout the lifecycle of the system, application or service?",10,Protect,X,X,X,"There is no evidence of a capability to conduct controlled maintenance activities throughout the lifecycle of the system, application or service.","Maintenance (MNT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactive maintenance operations. • Facilities management uses an informal process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactive maintenance operations. • Maintenance operations are decentralized both in terms of change management and execution. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Asset custodians track maintenance activities and component failure rates. • Administrative processes and technologies exist to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Administrative processes and technologies exist to enforce a two-pers on rule for implementing changes to sensitive/regulated systems.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Administrative processes and technologies exist to enforce a two-pers on rule for implementing changes to sensitive/regulated systems.","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct controlled maintenance activities throughout the lifecycle of the system, application or service.",,,,,,,,,,,OPA-01,,,,,,,,11.2.4 ,7.13,11.2.4 ,,,,,,,TS-2.6,,,,,,,MA-2,MA-2,MA-2,MA-2,MA-2,,MA-2,MA-2,MA-2,,,MA-2,MA-2,MA-2,3.4.13,,,,,,,3.7.1,3.7.4.a,3.7.1,,,,PR.MA-1,"PR.PS-02 PR.PS-03",A06:2021,,,,,,,,,,,,G.3.6,,,,,,,TM:SG5.SP2,,,,MA.L2-3.7.1,MA.L2-3.7.1,,MA.L2-3.7.1,MA.L2-3.7.1,MA-2,,,,,,,,MA-2,MA-2,MA-2,MA-2,MA-2,MA-2,MA-2,MA-2,MA-2,MA-2,,"D3.CC.Re.Int.5 D3.CC.Re.Int.6",,,,164.310(a)(2)iv),,,5.L.A,MA-2,,,8-304,"9.1 9.2",,,,,,MA-2,MA-2,MA-2,,,,,,,,,,,,,,,,,,MA-2,MA-2,MA-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-78,,,,,,,,,,,,,,,,,,,,,,,1079,,,,,,,,,,,11.2.4,,,"12.5.3.C.01 12.5.3.C.02 12.5.6.C.01 12.5.6.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Automated Maintenance Activities,MNT-02.1,"Automated mechanisms exist to schedule, conduct and document maintenance and repairs.",,,"Does the organization use automated mechanisms to schedule, conduct and document maintenance and repairs?",5,Protect,,,X,"There is no evidence of a capability to schedule, conduct and document maintenance and repairs.","SP-CMM1 is N/A, since a structured process is required to schedule, conduct and document maintenance and repairs.","SP-CMM2 is N/A, since a well-defined process is required to schedule, conduct and document maintenance and repairs.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations, but are assisted by technology-based tools to report on maintenance status (e.g., missing patches, outdated software versions, etc.).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to schedule, conduct and document maintenance and repairs.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to schedule, conduct and document maintenance and repairs.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-2(2),,,MA-2(2),MA-2(2),,,,MA-2(2),,,,,MA-2(2),,MA-2(2),,,,,MA-2(2),,,,,,,,,,,,,,,,,,,,,D.14,,,,,,,,,,,,,,,,,,,,,,,,MA-2(2),,,MA-2(2),,MA-2(2),,,MA-2(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Maintenance,Timely Maintenance,MNT-03,Mechanisms exist to obtain maintenance support and/or spare parts for systems within a defined Recovery Time Objective (RTO).,,E-MNT-04,Does the organization obtain maintenance support and/or spare parts for systems within a defined Recovery Time Objective (RTO)?,9,Protect,,,X,There is no evidence of a capability to obtain maintenance support and/ or spare parts for systems within a defined Recovery Time Objective (RTO).,"Maintenance (MNT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactive maintenance operations. • Facilities management uses an informal process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactive maintenance operations. • Maintenance operations are decentralized both in terms of change management and execution. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain maintenance support and/ or spare parts for systems within a defined Recovery Time Objective (RTO).",,,,,,,,,,,OPA-01,,,,,,,,,7.13,,,,,,,,,,,,,,,MA-6,,MA-6,MA-6,MA-6,,,MA-6,MA-6,,,,MA-6,MA-6,3.4.13,MA-6,,,,,MA-6,,,,,,,,,A06:2021,,"10.7 11.3",,,,,,,,,,F.11.4,,,,,,,TM:SG5.SP2,,,,,,,,,MA-6,,,,,,,,MA-6,,MA-6,MA-6,,MA-6,,MA-6,MA-6,,,,,,,,,,5.L.A,MA-6,,,8-304,9.1,,,,,,,MA-6,MA-6,,,,,,,,,,,,,,,,,,,,MA-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Preventative Maintenance,MNT-03.1,"Mechanisms exist to perform preventive maintenance on critical systems, applications and services.",,E-MNT-04,"Does the organization perform preventive maintenance on critical systems, applications and services?",5,Protect,,X,X,"There is no evidence of a capability to perform preventive maintenance on critical systems, applications and services.","SP-CMM1 is N/A, since a structured process is required to perform preventive maintenance on critical systems, applications and services.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Maintenance (MNT) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,OPA-01,,,,,,,,,,,,,,,,,,,,,,,,MA-6(1),,,,MA-6(1),,,,,MA-6(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.11.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Predictive Maintenance,MNT-03.2,"Mechanisms exist to perform predictive maintenance on critical systems, applications and services.",,,"Does the organization perform predictive maintenance on critical systems, applications and services?",5,Protect,,X,X,"There is no evidence of a capability to perform predictive maintenance on critical systems, applications and services.","SP-CMM1 is N/A, since a structured process is required to perform predictive maintenance on critical systems, applications and services.","SP-CMM2 is N/A, since a well-defined process is required to perform predictive maintenance on critical systems, applications and services.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Maintenance (MNT) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-6(2),,,,MA-6(2),,,,,MA-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.2.5.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Automated Support For Predictive Maintenance,MNT-03.3,Automated mechanisms exist to transfer predictive maintenance data to a computerized maintenance management system.,,,Does the organization use automated mechanisms to transfer predictive maintenance data to a computerized maintenance management system?,5,Protect,,,X,There is no evidence of a capability to transfer predictive maintenance data to a computerized maintenance management system.,"SP-CMM1 is N/A, since a structured process is required to transfer predictive maintenance data to a computerized maintenance management system.","SP-CMM2 is N/A, since a well-defined process is required to transfer predictive maintenance data to a computerized maintenance management system.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to transfer predictive maintenance data to a computerized maintenance management system.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to transfer predictive maintenance data to a computerized maintenance management system.",,,,,,,,,,,OPA-02,,,,,,,,,,,,,,,,,,,,,,,,MA-6(3),,,,MA-6(3),,,,,MA-6(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.5.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Maintenance,Maintenance Tools,MNT-04,Mechanisms exist to control and monitor the use of system maintenance tools. ,- VisibleOps security management,,Does the organization control and monitor the use of system maintenance tools? ,5,Protect,,X,X,There is no evidence of a capability to control and monitor the use of system maintenance tools. ,"SP-CMM1 is N/A, since a structured process is required to control and monitor the use of system maintenance tools. ","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to control and monitor the use of system maintenance tools. • Administrative processes and technologies exist to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to control and monitor the use of system maintenance tools. • Administrative processes and technologies exist to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control and monitor the use of system maintenance tools. ",,,,2.7,,,2.7,,,,,,,,RQ-05-14,,,,,,,,,,,,,,,,,,,,MA-3,,MA-3,MA-3,"MA-3 MA-3(5) MA-3(6)",,,MA-3,MA-3,"MA-3(5) MA-3(6)",,,MA-3,MA-3,3.4.13,MA-3,,,,MA-3,MA-3,3.7.2,"3.7.4.a 3.7.4.b 3.7.4.c 3.7.4.d 3.7.4.d.1 3.7.4.d.2 3.7.4.d.3","3.7.2[a] 3.7.2[b] 3.7.2[c] 3.7.2[d]","A.03.07.04.a[01] A.03.07.04.a[02] A.03.07.04.a[03] A.03.07.04.b",,,,,,,,,,,,,,,,,D.14,,,,,,,"AM:SG1.SP1 TM:SG4.SP1",,,,MA.L2-3.7.2,MA.L2-3.7.2,,MA.L2-3.7.2,MA.L2-3.7.2,MA-3,,,,,,,,MA-3 ,,MA-3 ,MA-3 ,,MA-3,,MA-3,MA-3,,,,,,,,,,5.L.A,"MA-3 MA-3(5)",,,8-304,9.2,,,,,,,MA-3 ,MA-3 ,,,,,,,,,,,,,,,,,,,,MA-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Inspect Tools ,MNT-04.1,Mechanisms exist to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ,,,Does the organization inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications? ,5,Protect,,,X,There is no evidence of a capability to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ,"SP-CMM1 is N/A, since a structured process is required to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to inspect maintenance tools carried into a facility by maintenance personnel for improper or unauthorized modifications. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-3(1),,MA-3(1),MA-3(1),MA-3(1),,,MA-3(1),MA-3(1),,,,MA-3(1),MA-3(1),,MA-3(1),,,,,MA-3(1),3.7.1,"3.7.4.b 3.7.4.c",,A.03.07.04.b,,,,,,,,,,,,,,,,,D.14,,,,,,,,,,,MA.L2-3.7.1,,,MA.L2-3.7.1,MA.L2-3.7.1,MA-3(1),,,,,,,,MA-3(1) ,,MA-3(1) ,MA-3(1) ,,MA-3(1),,MA-3(1),MA-3(1),,,,,,,,,,,MA-3(1),,,,,,,,,,,MA-3(1) ,MA-3(1) ,,,,,,,,,,,,,,,,,,,,MA-3(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Inspect Media ,MNT-04.2,Mechanisms exist to check media containing diagnostic and test programs for malicious code before the media are used. ,,,Does the organization check media containing diagnostic and test programs for malicious code before the media are used? ,5,Protect,,,X,There is no evidence of a capability to check media containing diagnostic and test programs for malicious code before the media are used. ,"SP-CMM1 is N/A, since a structured process is required to check media containing diagnostic and test programs for malicious code before the media are used. ","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to check media containing diagnostic and test programs for malicious code before the media are used. ","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to check media containing diagnostic and test programs for malicious code before the media are used. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to check media containing diagnostic and test programs for malicious code before the media are used. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-3(2),,MA-3(2),MA-3(2),MA-3(2),,,MA-3(2),MA-3(2),,,,MA-3(2),MA-3(2),,MA-3(2),,,,,MA-3(2),3.7.4,,3.7.4,A.03.07.04.c,,,,,,,,,,,,,,,,,D.14,,,,,,,,,,,MA.L2-3.7.4,MA.L2-3.7.4,,MA.L2-3.7.4,MA.L2-3.7.4,MA-3(2),,,,,,,,MA-3(2) ,,MA-3(2) ,MA-3(2) ,,MA-3(2),,MA-3(2),MA-3(2),,,,,,,,,,,MA-3(2),,,,,,,,,,,,MA-3(2) ,,,,,,,,,,,,,,,,,,,,MA-3(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Prevent Unauthorized Removal ,MNT-04.3,Mechanisms exist to prevent or control the removal of equipment undergoing maintenance that containing organizational information.,,,Does the organization prevent or control the removal of equipment undergoing maintenance that containing organizational information?,9,Protect,,,X,There is no evidence of a capability to prevent or control the removal of equipment undergoing maintenance that containing organizational information.,"SP-CMM1 is N/A, since a structured process is required to prevent or control the removal of equipment undergoing maintenance that containing organizational information.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to prevent or control the removal of equipment undergoing maintenance that containing organizational information.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to prevent or control the removal of equipment undergoing maintenance that containing organizational information.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent or control the removal of equipment undergoing maintenance that containing organizational information.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent or control the removal of equipment undergoing maintenance that containing organizational information.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-3(3),,,MA-3(3),MA-3(3),,,MA-3(3),MA-3(3),,,,MA-3(3),MA-3(3),,MA-3(3),,,,,MA-3(3),,"3.7.4.d 3.7.4.d.1 3.7.4.d.2 3.7.4.d.3",,A.03.07.04.d,,,,,,,,,,,,,,,,,F.3.2,,5.3.3,,,,,,,,,,,,,,MA-3(3),,,,,,,,MA-3(3) ,,MA-3(3) ,MA-3(3) ,,MA-3(3),,MA-3(3),MA-3(3),,,,,,,,,,,MA-3(3),,,,,,,,,,,,MA-3(3) ,,,,,,,,,,,,,,,,,,,,MA-3(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Restrict Tool Usage,MNT-04.4,Automated mechanisms exist to restrict the use of maintenance tools to authorized maintenance personnel and/or roles.,,,Does the organization use automated mechanisms to restrict the use of maintenance tools to authorized maintenance personnel and/or roles?,5,Protect,,X,X,There is no evidence of a capability to restrict the use of maintenance tools to authorized maintenance personnel and/ or roles.,"SP-CMM1 is N/A, since a structured process is required to restrict the use of maintenance tools to authorized maintenance personnel and/ or roles.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to control and monitor the use of system maintenance tools. ","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to control and monitor the use of system maintenance tools. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Maintenance (MNT) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,2.7,,,2.7,,,,,,,,RQ-05-14,,,,,,,,,,,,,,,,,,,,MA-3(4),,,,MA-3(4),,,,,MA-3(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.2.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-3(4),,,,9.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Maintenance,Remote Maintenance,MNT-05,"Mechanisms exist to authorize, monitor and control remote, non-local maintenance and diagnostic activities.",,,"Does the organization authorize, monitor and control remote, non-local maintenance and diagnostic activities?",9,Protect,,X,X,"There is no evidence of a capability to authorize, monitor and control remote, non-local maintenance and diagnostic activities.","Maintenance (MNT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactive maintenance operations. • Facilities management uses an informal process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactive maintenance operations. • Maintenance operations are decentralized both in terms of change management and execution.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to authorize, monitor and control non-local maintenance and diagnostic activities. • Technologies are configured to use cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications. ","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to authorize, monitor and control non-local maintenance and diagnostic activities. • Technologies are configured to use cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Maintenance (MNT) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,4.6,4.6,4.6,4.6,,,,CLS-09,,,,,,,,,,,,,,,,,TS-2.6,,,PR.MA-P2,,,,MA-4,MA-4,MA-4,MA-4,MA-4,,MA-4,MA-4,MA-4,,,MA-4,MA-4,MA-4,3.4.13,MA-4,MA-4,MA-4,,MA-4,MA-4,3.7.5,"3.1.12.d 3.7.5.a 3.7.5.b 3.7.5.c","3.7.5[a] 3.7.5[b]","A.03.07.05.a[01] A.03.07.05.a[02] A.03.07.05.b A.03.07.05.c[01] A.03.07.05.c[02]",,,PR.MA-2,,,,8.2.7,,8.2.7,,8.2.7,8.2.7,,8.2.7,8.2.7,,H.8,,,,,,,"AM:SG1.SP1 TM:SG4.SP1 TM:SG5.SP2",,,,MA.L2-3.7.5,MA.L2-3.7.5,,MA.L2-3.7.5,MA.L2-3.7.5,MA-4,,,,,,,,MA-4 ,MA-4 ,MA-4 ,MA-4 ,MA-4 ,MA-4,MA-4,MA-4,MA-4,MA-4,,D3.PC.Im.B.7,,,,,,"9.M.A 9.M.B","9.M.A 9.M.B 5.L.A",MA-4,,,,,,,,,,MA-4 ,MA-4 ,MA-4 ,III.C,,,,,,,,,,,,,,,,,MA-4,MA-4,MA-4,,,,,,,,,,,,,,,,,,,,,,,"4.18 12.7",,,,,,,,,,,,,TPC-35,,,2-2-1-7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Auditing Remote Maintenance,MNT-05.1,"Mechanisms exist to audit remote, non-local maintenance and diagnostic sessions, as well as review the maintenance action performed during remote maintenance sessions. ",,,"Does the organization audit remote, non-local maintenance and diagnostic sessions, as well as review the maintenance action performed during remote maintenance sessions? ",9,Detect,X,X,X,"There is no evidence of a capability to audit remote, non-local maintenance and diagnostic sessions, as well as review the maintenance action performed during remote maintenance sessions. ","SP-CMM1 is N/A, since a structured process is required to audit remote, non-local maintenance and diagnostic sessions, as well as review the maintenance action performed during remote maintenance sessions. ","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to audit non-local maintenance and diagnostic sessions and review the maintenance records of the sessions. ","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to audit non-local maintenance and diagnostic sessions and review the maintenance records of the sessions. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to audit remote, non-local maintenance and diagnostic sessions, as well as review the maintenance action performed during remote maintenance sessions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(1),,,,"MA-1 MA-4 MA-4(1)",,"MA-1 MA-4","MA-1 MA-4","MA-1 MA-4",MA-4(1),,"MA-1 MA-4","MA-1 MA-4 MA-4(1)","MA-1 MA-4 MA-4(1)",,"MA-1 MA-4","MA-1 MA-4","MA-1 MA-4",MA-1,"MA-1 MA-4","MA-1 MA-4",,,,,,,,,,,8.2.7,,8.2.7,,8.2.7,8.2.7,,8.2.7,8.2.7,,N.16,,,,,,,,,,,,,,,,MA-4(1),,,,,,,,,,,,,,,,,,,,,,,,,,5.L.A,"MA-1 MA-4 MA-4(1)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MA-1 MA-4",,,,,,,,,,,,,,,,,,,,,,,,,12.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for MA-4(1) Maintenance,Remote Maintenance Notifications,MNT-05.2,"Mechanisms exist to require maintenance personnel to notify affected stakeholders when remote, non-local maintenance is planned (e.g., date/time).",,,"Does the organization require maintenance personnel to notify affected stakeholders when remote, non-local maintenance is planned (e?g?, date/time)?",9,Protect,X,X,X,"There is no evidence of a capability to require maintenance personnel to notify affected stakeholders when remote, non-local maintenance is planned (e.g., date/time).","SP-CMM1 is N/A, since a structured process is required to require maintenance personnel to notify affected stakeholders when remote, non-local maintenance is planned (e.g., date/time).","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes require maintenance personnel to obtain pre-approval and scheduling for non-local maintenance sessions. • Administrative processes require maintenance personnel to notify organization-defined personnel when non-local maintenance is planned (e.g., date/time).","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes require maintenance personnel to obtain pre-approval and scheduling for non-local maintenance sessions. • Administrative processes require maintenance personnel to notify organization-defined personnel when non-local maintenance is planned (e.g., date/time).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require maintenance personnel to notify affected stakeholders when remote, non-local maintenance is planned (e.g., date/time).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require maintenance personnel to notify affected stakeholders when remote, non-local maintenance is planned (e.g., date/time).",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-2.6,,,,,,,MA-4(2),,MA-4(2),MA-4(2),"MA-1 MA-4",,"MA-1 MA-4","MA-1 MA-4","MA-1 MA-4",,,"MA-1 MA-4","MA-1 MA-4","MA-1 MA-4",,"MA-1 MA-4","MA-1 MA-4","MA-1 MA-4",MA-1,"MA-1 MA-4","MA-1 MA-4",NFO - MA-4(2),,,,,,,,,,,,,,,,,,,,G.2.5.3,,,,,,,,,,,,,,,,MA-4(2),,,,,,,,MA-4(2) ,,MA-4(2) ,MA-4(2) ,,,,,,,,,,,,,,,5.L.A,"MA-1 MA-4",,,,,,,,,,,,MA-4(2) ,,,,,,,,,,,,,,,,,,"MA-1 MA-4",,MA-4(2),,,,,,,,,,,,,,,,,,,,,,,12.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Remote Maintenance Cryptographic Protection,MNT-05.3,"Cryptographic mechanisms exist to protect the integrity and confidentiality of remote, non-local maintenance and diagnostic communications. ",,,"Are cryptographic mechanisms utilized to protect the integrity and confidentiality of remote, non-local maintenance and diagnostic communications? ",9,Protect,,,X,"There is no evidence of a capability to Cryptographic protect the integrity and confidentiality of remote, non-local maintenance and diagnostic communications. ","SP-CMM1 is N/A, since a structured process is required to Cryptographic protect the integrity and confidentiality of remote, non-local maintenance and diagnostic communications. ","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Technologies are configured to use cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications. ","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Technologies are configured to use cryptographic mechanisms to protect the integrity and confidentiality of non-local maintenance and diagnostic communications. ","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the integrity and confidentiality of remote, non-local maintenance and diagnostic communications. ",,,,12.3,,12.3,12.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(6),,,,MA-4(6),,,,,MA-4(6),,,,,,,,,,,,,3.7.5.b,,,,,,,,2.3,2.2.7,,2.2.7,,2.2.7,2.2.7,2.2.7,2.2.7,2.2.7,,M.1.40,,,,,,,,,,,,,,,,,,,,,,,,MA-4(6),,,MA-4(6),,,,,,,,,,,,,,,5.L.A,MA-4(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.20 12.7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Remote Maintenance Disconnect Verification,MNT-05.4,"Mechanisms exist to provide remote disconnect verification to ensure remote, non-local maintenance and diagnostic sessions are properly terminated.",,,"Does the organization provide remote disconnect verification to ensure remote, non-local maintenance and diagnostic sessions are properly terminated?",9,Protect,,,X,"There is no evidence of a capability to provide remote disconnect verification to ensure remote, non-local maintenance and diagnostic sessions are properly terminated.","SP-CMM1 is N/A, since a structured process is required to provide remote disconnect verification to ensure remote, non-local maintenance and diagnostic sessions are properly terminated.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to provide remote disconnect verification to ensure non-local maintenance and diagnostic sessions are properly terminated.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to provide remote disconnect verification to ensure non-local maintenance and diagnostic sessions are properly terminated.","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide remote disconnect verification to ensure remote, non-local maintenance and diagnostic sessions are properly terminated.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(7),,,,MA-4(7),,,,,MA-4(7),,,,,,,,,,,,,3.7.5.c,,,,,,,,,8.2.7,,8.2.7,,8.2.7,8.2.7,,8.2.7,8.2.7,,N.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.L.A,MA-4(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.18 4.20 12.7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Remote Maintenance Pre-Approval,MNT-05.5,"Mechanisms exist to require maintenance personnel to obtain pre-approval and scheduling for remote, non-local maintenance sessions.",- VisibleOps security management,,"Does the organization require maintenance personnel to obtain pre-approval and scheduling for remote, non-local maintenance sessions?",7,Protect,,X,X,"There is no evidence of a capability to require maintenance personnel to obtain pre-approval and scheduling for remote, non-local maintenance sessions.","SP-CMM1 is N/A, since a structured process is required to require maintenance personnel to obtain pre-approval and scheduling for remote, non-local maintenance sessions.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes and technologies exist to authorize, monitor and control non-local maintenance and diagnostic activities.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes and technologies exist to authorize, monitor and control non-local maintenance and diagnostic activities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require maintenance personnel to obtain pre-approval and scheduling for remote, non-local maintenance sessions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require maintenance personnel to obtain pre-approval and scheduling for remote, non-local maintenance sessions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(5),,,,MA-4(5),,,,,MA-4(5),,,,,,,,,,,,,3.7.5.a,,,,,,,,,,,,,,,,,,,N.21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.L.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Remote Maintenance Comparable Security & Sanitization,MNT-05.6,"Mechanisms exist to require systems performing remote, non-local maintenance and / or diagnostic services implement a security capability comparable to the capability implemented on the system being serviced.",,,"Does the organization require systems performing remote, non-local maintenance and / or diagnostic services implement a security capability comparable to the capability implemented on the system being serviced?",5,Protect,,X,X,"There is no evidence of a capability to require systems performing remote, non-local maintenance and / or diagnostic services implement a security capability comparable to the capability implemented on the system being serviced.","SP-CMM1 is N/A, since a structured process is required to require systems performing remote, non-local maintenance and / or diagnostic services implement a security capability comparable to the capability implemented on the system being serviced.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require systems performing remote, non-local maintenance and / or diagnostic services implement a security capability comparable to the capability implemented on the system being serviced.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require systems performing remote, non-local maintenance and / or diagnostic services implement a security capability comparable to the capability implemented on the system being serviced.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(3),,,MA-4(3),MA-4(3),,,,MA-4(3),,,,,MA-4(3),,MA-4(3),,,,MA-4(3),MA-4(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(3),,,,,,,,MA-4(3),,,MA-4(3),,MA-4(3),,,MA-4(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Separation of Maintenance Sessions,MNT-05.7,Mechanisms exist to protect maintenance sessions through replay-resistant sessions that are physically or logically separated communications paths from other network sessions.,,,Does the organization protect maintenance sessions through replay-resistant sessions that are physically or logically separated communications paths from other network sessions?,1,Protect,,,X,There is no evidence of a capability to protect maintenance sessions through replay-resistant sessions that are physically or logically separated communications paths from other network sessions.,"SP-CMM1 is N/A, since a structured process is required to protect maintenance sessions through replay-resistant sessions that are physically or logically separated communications paths from other network sessions.","SP-CMM2 is N/A, since a well-defined process is required to protect maintenance sessions through replay-resistant sessions that are physically or logically separated communications paths from other network sessions.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect maintenance sessions through replay-resistant sessions that are physically or logically separated communications paths from other network sessions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect maintenance sessions through replay-resistant sessions that are physically or logically separated communications paths from other network sessions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(4),,,,MA-4(4),,,,,MA-4(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-4(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Authorized Maintenance Personnel,MNT-06,Mechanisms exist to maintain a current list of authorized maintenance organizations or personnel.,- VisibleOps security management,,Does the organization maintain a current list of authorized maintenance organizations or personnel?,9,Protect,,X,X,There is no evidence of a capability to maintain a current list of authorized maintenance organizations or personnel.,"Maintenance (MNT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactive maintenance operations. • Facilities management uses an informal process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactive maintenance operations. • Maintenance operations are decentralized both in terms of change management and execution.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes maintain a current list of authorized maintenance organizations or personnel. • Administrative processes ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes maintain a current list of authorized maintenance organizations or personnel. • Administrative processes ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.","Maintenance (MNT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a current list of authorized maintenance organizations or personnel.",,,,,,,,,,,,,,,,,,,,,,,,,,,T1606,,,,,,,,MA-5,MA-5,MA-5,MA-5,MA-5,,MA-5,MA-5,MA-5,,,MA-5,MA-5,MA-5,3.4.13,MA-5,MA-5,,,MA-5,MA-5,3.7.6,"3.7.6.a 3.7.6.b 3.7.6.c 3.7.6.d",3.7.6,"A.03.07.06.a A.03.07.06.b A.03.07.06.c A.03.07.06.d",,,,,,,,,,,,,,,,,F.2.6,,,,,,,"AM:SG1.SP1 TM:SG4.SP1",,,,MA.L2-3.7.6,MA.L2-3.7.6,,MA.L2-3.7.6,MA.L2-3.7.6,MA-5,,,,,,,,MA-5 ,MA-5 ,MA-5 ,MA-5 ,MA-5 ,MA-5,MA-5,MA-5,MA-5,MA-5,,,,,,,,,5.L.A,MA-5,,,8-304,,,,,,,MA-5 ,MA-5 ,MA-5 ,,,,,,,,,,,,,,,,,,MA-5,MA-5,MA-5,,,,,,,,,,,,,,,,,,,,,,,12.7,,,,,,,,,,,,,,,,2-13-1-7,,,,,,,,,,,,,,,,,,,,0307,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Maintenance Personnel Without Appropriate Access ,MNT-06.1,"Mechanisms exist to ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.",- VisibleOps security management,E-MNT-01,"Does the organization ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated?",7,Protect,,X,X,"There is no evidence of a capability to ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.","SP-CMM1 is N/A, since a structured process is required to ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. • Administrative processes ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. • Administrative processes ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure the risks associated with maintenance personnel who do not have appropriate access authorizations, clearances or formal access approvals are appropriately mitigated.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MA-5(1) MA-5(2) MA-5(3) MA-5(4)",,,MA-5(1),"MA-5(1) MA-5(2) MA-5(3) MA-5(4)",,,,MA-5(1),"MA-5(2) MA-5(3) MA-5(4)",,,,MA-5(1),,MA-5(4),,MA-5(4),,MA-5(4),MA-5(4),,"3.7.6.a 3.7.6.b 3.7.6.c 3.7.6.d",,,,,,,,,,,,,,,,,,,F.1.2.16,,,,,,,,,,,,,,,,,,,,,,,,MA-5(1) ,,MA-5(1) ,MA-5(1) ,,MA-5(1),,MA-5(1),MA-5(1),,,,,,,,,,5.L.A,,,,,,,,,,,,,MA-5(1) ,,,,,,,,,,,,,,,,,,,,MA-5(1),,,,,,,,,,,,,,,,,,,,,,,12.7,,,,,,,,,,,,,,,,2-13-1-7,,,,,,,,,,,,,,,,,,,,0306,,,,,,,,,,,,,,"12.5.4.C.01 12.5.4.C.02 12.5.4.C.03 12.5.4.C.04",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Non-System Related Maintenance,MNT-06.2,Mechanisms exist to ensure that non-escorted personnel performing non-IT maintenance activities in the physical proximity of IT systems have required access authorizations.,,,Does the organization ensure that non-escorted personnel performing non-IT maintenance activities in the physical proximity of IT systems have required access authorizations?,5,Protect,,X,,There is no evidence of a capability to ensure that non-escorted personnel performing non-IT maintenance activities in the physical proximity of IT systems have required access authorizations.,"Maintenance (MNT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactive maintenance operations. • Facilities management uses an informal process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactive maintenance operations. • Maintenance operations are decentralized both in terms of change management and execution.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that non-escorted personnel performing non-IT maintenance activities in the physical proximity of IT systems have required access authorizations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that non-escorted personnel performing non-IT maintenance activities in the physical proximity of IT systems have required access authorizations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-5(5),,,,MA-5(5),,,,,MA-5(5),,,,,,,,,,,,,"3.7.6.a 3.7.6.b 3.7.6.c",,,,,,,,,,,,,,,,,,,F.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-5(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Maintain Configuration Control During Maintenance,MNT-07,Mechanisms exist to maintain proper physical security and configuration control over technology assets awaiting service or repair.,,,Does the organization maintain proper physical security and configuration control over technology assets awaiting service or repair?,8,Protect,,X,X,There is no evidence of a capability to maintain proper physical security and configuration control over technology assets awaiting service or repair.,"SP-CMM1 is N/A, since a structured process is required to maintain proper physical security and configuration control over technology assets awaiting service or repair.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain proper physical security and configuration control over technology assets awaiting service or repair.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain proper physical security and configuration control over technology assets awaiting service or repair.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1059.002, T1204.003, T1505, T1505.001, T1505.002, T1505.004, T1546.006, T1554, T1601, T1601.001, T1601.002",,,,,,,,,,,,SR-11(2),,SR-11(2),SR-11(2),SR-11(2),,,SR-11(2),SR-11(2),SR-11(2),,SR-11(2),SR-11(2),,,SR-11(2),SR-11(2),,,,,,,,,,,,,,,,,,,,,J.2.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SR-11(2),SR-11(2),SR-11(2),SR-11(2),SR-11(2),,,,,,,,,,SR-11(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Field Maintenance,MNT-08,Mechanisms exist to securely conduct field maintenance on geographically deployed assets.,,,Does the organization securely conduct field maintenance on geographically deployed assets?,8,Protect,,X,X,There is no evidence of a capability to securely conduct field maintenance on geographically deployed assets.,"SP-CMM1 is N/A, since a structured process is required to securely conduct field maintenance on geographically deployed assets.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to securely conduct field maintenance on geographically deployed assets.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to securely conduct field maintenance on geographically deployed assets.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-7,,,,,MA-7,,MA-7,MA-7,MA-7,,MA-7,,,,,MA-7,,,,,,,,,,,,,,,,,,,,,D.14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0305,,,,,,,,,,,,,,12.5.5.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for MA-7 Maintenance,Off-Site Maintenance,MNT-09,Mechanisms exist to ensure off-site maintenance activities are conducted securely and the asset(s) undergoing maintenance actions are secured during physical transfer and storage while off-site.,,,Does the organization ensure off-site maintenance activities are conducted securely and the asset(s) undergoing maintenance actions are secured during physical transfer and storage while off-site?,8,Protect,,X,X,There is no evidence of a capability to ensure off-site maintenance activities are conducted securely and the asset(s) undergoing maintenance actions are secured during physical transfer and storage while off-site.,"SP-CMM1 is N/A, since a structured process is required to ensure off-site maintenance activities are conducted securely and the asset(s) undergoing maintenance actions are secured during physical transfer and storage while off-site.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure off-site maintenance activities are conducted securely and the asset(s) undergoing maintenance actions are secured during physical transfer and storage while off-site.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure off-site maintenance activities are conducted securely and the asset(s) undergoing maintenance actions are secured during physical transfer and storage while off-site.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.7.4.a 3.7.4.d 3.7.4.d.1 3.7.4.d.2 3.7.4.d.3",,,,,,,,,,,,,,,,,,,D.9.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0310,,,,,,,,,,,,,,12.5.5.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Maintenance Validation,MNT-10,Mechanisms exist to validate maintenance activities were appropriately performed according to the work order and that security controls are operational.,,,Does the organization validate maintenance activities were appropriately performed according to the work order and that security controls are operational?,6,Detect,,X,X,There is no evidence of a capability to validate maintenance activities were appropriately performed according to the work order and that security controls are operational.,"SP-CMM1 is N/A, since a structured process is required to validate maintenance activities were appropriately performed according to the work order and that security controls are operational.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate maintenance activities were appropriately performed according to the work order and that security controls are operational.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate maintenance activities were appropriately performed according to the work order and that security controls are operational.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.3.6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1598,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Maintenance,Maintenance Monitoring,MNT-11,Mechanisms exist to maintain situational awareness of the quality and reliability of systems and components through tracking maintenance activities and component failure rates.,,,Does the organization maintain situational awareness of the quality and reliability of systems and components through tracking maintenance activities and component failure rates?,6,Detect,,,X,There is no evidence of a capability to maintain situational awareness of the quality and reliability of systems and components through tracking maintenance activities and component failure rates.,"SP-CMM1 is N/A, since a structured process is required to maintain situational awareness of the quality and reliability of systems and components through tracking maintenance activities and component failure rates.","Maintenance (MNT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Technology asset maintenance is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to appropriately address applicable statutory, regulatory and contractual requirements for technology asset maintenance. o Develop and disseminate formal guidance to facilitate a localized/regionalized process to implement secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Maintenance controls are primarily administrative in nature (e.g., policies & standards) to manage change control processes associated with maintenance operations. • Asset custodians develop and maintain formalized procedures to conduct controlled and timely maintenance activities throughout the lifecycle of the system, application or service. • Maintenance operations may be centralized for certain locations (e.g., datacenters) and decentralized for other locations, both in terms of change management and execution. • Facilities management uses a localized/regionalized process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations.","Maintenance (MNT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity personnel develop and disseminate formal practices to implement enterprise-wide capability to conduct secure and timely technology asset-specific maintenance operations, including preventative and reactionary maintenance operations. • Technology asset-related maintenance operations are centralized in terms of change management and governance. Local/regional practices fall under the broader enterprise-wide technology asset maintenance program. • Facilities management uses an enterprise-wide process to facilitate the secure and timely implementation of non-IT maintenance operations, including preventative and reactionary maintenance operations. Local/regional practices fall under the broader enterprise-wide facilities management program. • A Change Control Board (CCB), or similar function, centrally manages the process of IT and non-IT maintenance operations to reduce the chance of business interruptions from maintenance operations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain situational awareness of the quality and reliability of systems and components through tracking maintenance activities and component failure rates.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain situational awareness of the quality and reliability of systems and components through tracking maintenance activities and component failure rates.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MA-8,,,,,MA-8,,,,,,,,,,,,,,,,,,,,,G.3.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-4 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,R-EX-4,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Centralized Management Of Mobile Devices ,MDM-01,"Mechanisms exist to develop, govern & update procedures to facilitate the implementation of mobile device management controls.",,,"Does the organization develop, govern & update procedures to facilitate the implementation of mobile device management controls?",10,Protect,X,X,X,"There is no evidence of a capability to develop, govern & update procedures to facilitate the implementation of mobile device management controls.","Mobile Device Management (MDM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • MDM is mostly administrative in nature (e.g., policies & standards) that rely on administrative “acceptable use” restrictions to govern mobile device usage. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices).","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices).","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Mobile Device Management (MDM) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise with regards to MDM. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for MDM. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including MDM. • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop, govern & update procedures to facilitate the implementation of mobile device management controls.",CC6.7,CC6.7-POF4,,,,,,,,UEM-12,SAP-05,,,CR 2.3 (6.5),,,,,"6.2 6.2.1",8.1,"6.2 6.2.1",,,,,,,TS-1.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.18,3.1.18.a,,A.03.01.18.a[01],,,,,,,,,,,,,,,,,M.1.3,,3.1.4,,,,,,,"5.13 5.13.1 5.13.1.2 5.13.1.2.1 5.13.1.2.2 5.13.1.3 5.13.1.4 5.13.2 5.13.3 5.13.4 5.13.4.1 5.13.4.2 5.13.4.3 5.13.7 5.13.7.1 5.13.7.2 5.13.7.2.1 5.13.7.3",,AC.L2-3.1.18,,,AC.L2-3.1.18,AC.L2-3.1.18,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,"4.25 4.28 13.1 13.3 13.5 13.8 13.9 13.10",,,,,,,,,,,,2-5,,,"2-6-3 2-6-3-1 2-6-3-2 2-6-3-3 2-6-3-4 2-6-4 5-1-3-6","2-5 2-5-1 2-5-1-1 2-5-1-2 2-5-1-3 2-5-1-4 2-5-1-5 2-5-2",,,,,8.3.3 [MP.EQ.3],,,,,"B3.a B3.d",,,,,,,,,,"1533 1195 0687 1297 1085 0682 0863 0864 1366 0874 0705",,,,,,,,,,,6.2.1,,17.1,"21.1.10.C.01 21.1.10.C.02 21.1.10.C.03 21.1.11.C.01 21.1.11.C.02 21.1.12.C.01 21.1.14.C.01 21.1.14.C.02 21.1.15.C.01 21.1.16.C.01 21.1.16.C.02 21.1.17.C.01 21.1.17.C.02 21.1.17.C.03 21.1.18.C.01 21.1.18.C.02 21.1.19.C.01 21.1.19.C.02",,,,,,,,,,,6.11,,"4.14 4.15",,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Mobile Device Management,Access Control For Mobile Devices,MDM-02,Mechanisms exist to enforce access control requirements for the connection of mobile devices to organizational systems. ,,,Does the organization enforce access control requirements for the connection of mobile devices to organizational systems? ,9,Protect,,X,X,There is no evidence of a capability to enforce access control requirements for the connection of mobile devices to organizational systems. ,"SP-CMM1 is N/A, since a structured process is required to enforce access control requirements for the connection of mobile devices to organizational systems. ","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices). • Administrative processes and technologies restrict the connection of personally-owned, mobile devices to organizational systems and networks. ","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Administrative processes and technologies restrict the connection of personally-owned, mobile devices to organizational systems and networks. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce access control requirements for the connection of mobile devices to organizational systems. ",,,,,,,,,,UEM-12,,,,,,,,,6.2.1 ,8.1,6.2.1 ,,"6.3.2 6.3.2.1",,,,"T1020.001, T1040, T1070, T1070.001, T1070.002, T1114, T1114.001, T1114.002, T1114.003, T1119, T1530, T1550.001, T1552, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002",,,,,,,,AC-19,AC-19,AC-19,AC-19,AC-19,,AC-19,AC-19,AC-19,,,AC-19,AC-19,AC-19,,AC-19,AC-19,,,AC-19,AC-19,3.1.18,"3.1.18.a 3.1.18.b","3.1.18[a] 3.1.18[b] 3.1.18[c]",,,,,,,,,,,,,,,,,,M.1.16,,,,,,,"TM:SG4.SP1 TM:SG4.SP2",,"5.13.2 5.13.6 5.13.7 5.13.7.1 5.13.7.2",,AC.L2-3.1.18,AC.L2-3.1.18,,AC.L2-3.1.18,AC.L2-3.1.18,AC-19,,,,,,,,AC-19 ,AC-19 ,AC-19 ,AC-19 ,AC-19 ,AC-19,AC-19,AC-19,AC-19,AC-19,,,,,,,,,2.L.B,AC-19,,,8-610,,,,,,,AC-19 ,AC-19 ,AC-19 ,,,,,,,,,,,,,,,,,,AC-19,AC-19,AC-19,,,,,,,,,,,,,,,,,,,,,,,"4.27 13.2 13.3 13.5 13.7 13.9",,,,,,,,,,,,2-5-1-1,TPC-84,,"2-6-3-2 5-1-3-6",,,,,,,,,,,"B3.a B3.d",,,,,,,,,,,,,,,,,,,,,6.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Full Device & Container-Based Encryption ,MDM-03,Cryptographic mechanisms exist to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.,,,Are cryptographic mechanisms utilized to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption?,9,Protect,,,X,There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.,"SP-CMM1 is N/A, since a structured process is required to Cryptographic protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices).","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.",CC6.7,,,,,,,,,,SAP-05,,,,,,,,,,,,,,,,,,,,,,,,AC-19(5),,AC-19(5),AC-19(5),AC-19(5),,,AC-19(5),AC-19(5),,,,AC-19(5),AC-19(5),,,,,,,,3.1.19,3.1.18.c,"3.1.19[a] 3.1.19[b]",A.03.01.18.c,,,,,,,,,,,,,,,,,M.1.28,,,,,,,,,5.13.2,,AC.L2-3.1.19,AC.L2-3.1.19,,AC.L2-3.1.19,AC.L2-3.1.19,AC-19(5),,,,,,,,AC-19(5) ,,AC-19(5) ,AC-19(5) ,,AC-19(5),,AC-19(5),AC-19(5),,,,,,,,,,2.L.B,AC-19(5),,,,,,,,,,,,AC-19(5) ,,,,,,,,,,,,,,,,,,,,AC-19(5),,,,,,,,,,,,,,,,,,,,,,,"4.26 8.7 13.4",,,,,,,,,,,,2-5-1-2,,,2-6-3-1,,,,,,,,,,,B3.d,,,,,,,,,,0869,,,,,,,,,,,,,,"21.1.13.C.01 21.1.13.C.02 21.1.13.C.03 21.1.13.C.04 21.1.13.C.05",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-4",,,,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Mobile Device Tampering,MDM-04,"Mechanisms exist to protect mobile devices from tampering through inspecting devices returning from locations that the organization deems to be of significant risk, prior to the device being connected to the organization’s network.",,,"Does the organization protect mobile devices from tampering through inspecting devices returning from locations that the organization deems to be of significant risk, prior to the device being connected to the organization’s network?",9,Protect,,X,X,"There is no evidence of a capability to protect mobile devices from tampering through inspecting devices returning from locations that the organization deems to be of significant risk, prior to the device being connected to the organization’s network.","SP-CMM1 is N/A, since a structured process is required to protect mobile devices from tampering through inspecting devices returning from locations that the organization deems to be of significant risk, prior to the device being connected to the organization’s network.","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices). • Administrative processes and technologies protect mobile devices from tampering through inspecting devices returning from locations that the organization deems to be of significant risk, prior to the device being connected to the organization’s network.","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption. • Administrative processes and technologies prohibit the installation of non-approved applications or approved applications not obtained through the organization-approved application store. • Administrative processes and technologies protect mobile devices from tampering through inspecting devices returning from locations that the organization deems to be of significant risk, prior to the device being connected to the organization’s network.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect mobile devices from tampering through inspecting devices returning from locations that the organization deems to be of significant risk, prior to the device being connected to the organization’s network.",,,,,,,,,,,,,,,,,,,,,,,6.8.1.6,,,,,,,,,,,,PE-3(5),,,,PE-3(5),,,,,PE-3(5),,,,,,PE-3(5),,,,PE-3(5),PE-3(5),,,,,,,,,,,,,,,,,,,,,M.1.3,,,,,,,,,5.13.1.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,13.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.1.7,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,,,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Remote Purging,MDM-05,Mechanisms exist to remotely purge selected information from mobile devices. ,,,Does the organization remotely purge selected information from mobile devices? ,9,Protect,,X,X,There is no evidence of a capability to remotely purge selected information from mobile devices. ,"SP-CMM1 is N/A, since a structured process is required to remotely purge selected information from mobile devices. ","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices). • Administrative processes and technologies exist to remotely purge selected information from mobile devices. ","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Mobile Device Management (MDM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,4.11,,4.11,4.11,,,UEM-13,,,,,,,,,6.2.1,8.1,6.2.1,,"6.3.1.2 6.3.2 6.3.2.1",,,,,TS-1.4,,,,,,,"AC-7(2) MP-6(8)",,,,"AC-7(2) MP-6(8)",,,,,"AC-7(2) MP-6(8)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.15,,,,,,,,,5.13.2,,,,,,,,,,,,,,,AC-7(2),,,AC-7(2),,,,,,,,,,,,,,9.M.D,"9.M.D 2.L.B",AC-7(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,13.8,,,,,,,,,,,,,TPC-59,,2-6-3-3,,,,,,,,,,,B3.d,,,,,,,,,,"0701 0702",,,,,,,,,,,6.2.1,,,"21.1.20.C.01 21.1.20.C.02 21.1.20.C.03",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-3 R-AC-4 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-3 R-IR-4",,,R-AC-3,R-AC-4,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,R-IR-3,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Personally-Owned Mobile Devices ,MDM-06,"Mechanisms exist to restrict the connection of personally-owned, mobile devices to organizational systems and networks. ",,,"Does the organization restrict the connection of personally-owned, mobile devices to organizational systems and networks? ",8,Protect,X,X,X,"There is no evidence of a capability to restrict the connection of personally-owned, mobile devices to organizational systems and networks. ","SP-CMM1 is N/A, since a structured process is required to restrict the connection of personally-owned, mobile devices to organizational systems and networks. ","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices).","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the connection of personally-owned, mobile devices to organizational systems and networks. ",,,,4.11,,4.11,4.11,,,,SAP-05,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.18,"3.1.18.a 3.1.18.b 3.1.18.c",,,,,,,,,,,,,,,,,,,M.1.16.2,,,,,,,,,"5.5.6.1 5.5.6.2",,AC.L2-3.1.18,,,AC.L2-3.1.18,AC.L2-3.1.18,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"13.3 13.5",,,,,,,,,,,,2-5-1-1,TPC-84,,5-1-3-6,,,,,,,,,,,B3.d,,,,,,,,,,"1400 0694 1297 1482",,,,,,,,,,,,,,21.1.12.C.01,,,,,14.1.7,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,,,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Organization-Owned Mobile Devices ,MDM-07,Mechanisms exist to prohibit the installation of non-approved applications or approved applications not obtained through the organization-approved application store.,,,Does the organization prohibit the installation of non-approved applications or approved applications not obtained through the organization-approved application store?,8,Protect,,X,X,There is no evidence of a capability to prohibit the installation of non-approved applications or approved applications not obtained through the organization-approved application store.,"SP-CMM1 is N/A, since a structured process is required to prohibit the installation of non-approved applications or approved applications not obtained through the organization-approved application store.","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices).","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption. • Administrative processes and technologies prohibit the installation of non-approved applications or approved applications not obtained through the organization-approved application store.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the installation of non-approved applications or approved applications not obtained through the organization-approved application store.",,,,4.11,,4.11,4.11,,,,SAP-05,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.18,"3.1.18.a 3.1.18.b 3.1.18.c",,,,,,,,,,,,,,,,,,,M.1.39,,,,,,,,,,,AC.L2-3.1.18,,,AC.L2-3.1.18,AC.L2-3.1.18,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"13.3 13.5",,,,,,,,,,,,,,,5-1-3-6,2-5-1-4,,,,,,,,,,B3.d,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.1.7,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,,,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Mobile Device Data Retention Limitations,MDM-08,Mechanisms exist to limit data retention on mobile devices to the smallest usable dataset and timeframe.,,,Does the organization limit data retention on mobile devices to the smallest usable dataset and timeframe?,7,Protect,,,X,There is no evidence of a capability to limit data retention on mobile devices to the smallest usable dataset and timeframe.,"SP-CMM1 is N/A, since a structured process is required to limit data retention on mobile devices to the smallest usable dataset and timeframe.","Mobile Device Management (MDM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Mobile device management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Mobile Device Management (MDM). o Implement and maintain a MDM capability for all mobile devices in use at the organization. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices).","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption. • Administrative processes and technologies limit data retention on mobile devices to the smallest usable dataset and timeframe.","Mobile Device Management (MDM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit data retention on mobile devices to the smallest usable dataset and timeframe.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.19.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B3.d,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-4 R-GV-5 R-IR-4",,,,,,,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Mobile Device Geofencing,MDM-09,Mechanisms exist to restrict the functionality of mobile devices based on geographic location.,,,Does the organization restrict the functionality of mobile devices based on geographic location?,7,Protect,X,X,X,There is no evidence of a capability to restrict the functionality of mobile devices based on geographic location.,"SP-CMM1 is N/A, since a structured process is required to restrict the functionality of mobile devices based on geographic location.","SP-CMM2 is N/A, since a well-defined process is required to restrict the functionality of mobile devices based on geographic location.","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption. • Mobile devices are configured to restrict the functionality based on geographic location.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the functionality of mobile devices based on geographic location.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the functionality of mobile devices based on geographic location.",,,,,,,,,,UEM-12,IAM-05,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-6 R-EX-7 R-GV-1 R-GV-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,,,,,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Separate Mobile Device Profiles,MDM-10,Mechanisms exist to enforce a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. ,,,Does the organization enforce a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data? ,7,Protect,X,X,X,There is no evidence of a capability to enforce a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. ,"SP-CMM1 is N/A, since a structured process is required to enforce a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. ","SP-CMM2 is N/A, since a well-defined process is required to enforce a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. ","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. ",,,,4.12,,,4.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.32,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Mobile Device Management,Restricting Access To Authorized Devices,MDM-11,"Mechanisms exist to restrict the connectivity of unauthorized mobile devices from communicating with systems, applications and services.",,,"Does the organization restrict the connectivity of unauthorized mobile devices from communicating with systems, applications and services?",8,Protect,,X,X,"There is no evidence of a capability to restrict the connectivity of unauthorized mobile devices from communicating with systems, applications and services.","SP-CMM1 is N/A, since a structured process is required to restrict the connectivity of unauthorized mobile devices from communicating with systems, applications and services.","SP-CMM2 is N/A, since a well-defined process is required to restrict the connectivity of unauthorized mobile devices from communicating with systems, applications and services.","Mobile Device Management (MDM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An Identity & Access Management (IAM) function, or similar function, performs the implementation of access controls for mobile devices that restricts the connectivity of mobile devices from communicating with systems, applications and services. • Organization-owned mobile devices are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information stored on the device, and conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • MDM software is used to restrict the data that is stored/processed/transmitted on organization-owned and/ or applicable Bring Your Own Device (BYOD) (e.g., personal devices) across the entire organization. • MDM enforces a separate device workspace on applicable mobile devices to separate work-related and personal-related applications and data. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of information on mobile devices through full-device or container encryption.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the connectivity of unauthorized mobile devices from communicating with systems, applications and services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the connectivity of unauthorized mobile devices from communicating with systems, applications and services.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.18.b,,,,,,,,,,,,,,,,,,,M.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-5-1-1,TPC-84,,,,,,,,,,,,,"B3.a B3.d",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Network Security,Network Security Controls (NSC),NET-01,"Mechanisms exist to develop, govern & update procedures to facilitate the implementation of Network Security Controls (NSC).","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization develop, govern & update procedures to facilitate the implementation of Network Security Controls (NSC)?",10,Protect,X,X,X,"There is no evidence of a capability to develop, govern & update procedures to facilitate the implementation of Network Security Controls (NSC).","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for network security practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise with regards to network security. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for network security. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including network security. • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop, govern & update procedures to facilitate the implementation of Network Security Controls (NSC).","CC6.1 CC6.6","CC6.6-POF1 CC6.6-POF2 CC6.6-POF3 CC6.6-POF4",,"12.0 12.1 12.2 12.3 12.6",12.1,"12.1 12.2 12.3 12.6","12.1 12.2 12.3 12.6",DSS05.02,,IVS-03,"SNT-01 SNT-03",,,,,,,,"13.1.1 13.1.2 ","5.14 8.20 8.21","13.1.1 13.1.2 ",,"6.10 6.10.1 6.10.1.1 6.10.1.2",,,,,"TS-2.0 TS-2.4 TS-2.6 TS-2.13",,,PR.PT-P3,,,,SC-1,SC-1,SC-1,SC-1,SC-1,,SC-1,SC-1,SC-1,,,SC-1,SC-1,SC-1,,SC-1,SC-1,,SC-1,SC-1,SC-1,NFO - SC-1,"3.1.12.a 3.1.16.a 3.1.16.b 3.1.18.a 3.1.18.b",,,,,PR.PT-4,"PR.IR PR.IR-01",,,"1.2 11.2.1",,,,,11.2.1,,11.2.1,11.2.1,,N.1,,"5.2.7 5.3.2",,,,"ARCHITECTURE-2.A.MIL1 ARCHITECTURE-2.C.MIL2",,"5.4 5.5",5.10,,,,SC.L1-b.1.x,,,SC-1,,,,52.204-21(b)(1)(x),,,,SC-1 ,SC-1 ,SC-1 ,SC-1 ,SC-1 ,SC-1,SC-1,SC-1,SC-1,SC-1,,"D3.PC.Im.B.1 D3.PC.Am.B.11 D3.PC.Im.Int.1",,,,,,"6.M.A 6.M.B 9.M.E","6.M.A 6.M.B 9.M.E 6.L.A","3.3.6 SC-1",,"CIP-005-5 R1","8-101 8-605",16.1,6.8,,,,,SC-1 ,SC-1 ,SC-1 ,"III.B III.B.2 III.B.2.a III.B.2.b III.C.5",,,,,,,,,,,,,,,,,SC-1,SC-1,SC-1,,,,,,,"Art 32.1 Art 32.2","Article 21.2(e) Article 21.5",,,"Sec 14 Sec 15",Art 16,,,,,,,PSS-10,,,,9.1,,,,,,,,,,,,"2-3-1-5 2-4 2-4-1-5","TPC-13 TPC-14 TPC-15 TPC-16 TPC-17 TPC-78","3.3.4 3.3.8","2-4-4 2-5-1 2-5-2 2-5-4","2-3 2-3-1 2-3-1-1 2-4 2-4-1 2-4-2 2-5-2",,,Sec 19,,"8.4.1 [MP.COM.1] 8.4.2 [MP.COM.2]",,,,,"B4.a B5.b",,1,,,,,,,,"0521 1186 1428 1429 1430 1711 1712 1774 0629 1783",,,,,,,,,,,"13.1.1 13.1.2",,8.1,"10.8.34.C.01 10.8.34.C.02 10.8.35.C.01 10.8.36.C.01 10.8.37.C.01 10.8.38.C.01 18.1.9.C.01 18.1.9.C.02 18.1.9.C.03 18.1.9.C.04 18.1.9.C.05 18.5.7.C.01 18.5.7.C.02 18.5.8.C.01 18.5.8.C.02 18.5.8.C.03 18.5.8.C.04 18.5.9.C.01 18.5.9.C.02 18.5.9.C.03 18.5.10.C.01 18.5.10.C.02 18.5.11.C.01",,,,4.4,"11.2.1 11.2.2 11.2.3 11.2.4 11.2.5 11.2.6 11.2.7 11.2.8",,,,,,6.18,,"4.10 4.15",,,,,,,,,,,,x,FAR 52.204-21,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Network Security,Zero Trust Architecture (ZTA),NET-01.1,Mechanisms exist to treat all users and devices as potential threats and prevent access to data and resources until the users can be properly authenticated and their access authorized.,,,Does the organization treat all users and devices as potential threats and prevent access to data and resources until the users can be properly authenticated and their access authorized?,8,Protect,X,X,X,There is no evidence of a capability to treat all users and devices as potential threats and prevent access to data and resources until the users can be properly authenticated and their access authorized.,"SP-CMM1 is N/A, since a structured process is required to treat all users and devices as potential threats and prevent access to data and resources until the users can be properly authenticated and their access authorized.","SP-CMM2 is N/A, since a well-defined process is required to treat all users and devices as potential threats and prevent access to data and resources until the users can be properly authenticated and their access authorized.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to treat all users and devices as potential threats and prevent access to data and resources until the users can be properly authenticated and their access authorized.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to treat all users and devices as potential threats and prevent access to data and resources until the users can be properly authenticated and their access authorized.",,,,13.5,,13.5,13.5,,,,SNT-02,,,"CR 1.13 (5.15) NDR 1.13 (15.3.1) NDR 1.13 (15.3.3(1)) NDR 5.3 (15.13.1)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.2.2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0665,,,,,,,,,,,,,,"2.3.26.C.01 2.3.26.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Layered Network Defenses ,NET-02,Mechanisms exist to implement security functions as a layered structure that minimizes interactions between layers of the design and avoids any dependence by lower layers on the functionality or correctness of higher layers. ,,"E-DCH-03 E-DCH-04 E-DCH-05",Does the organization implement security functions as a layered structure that minimizes interactions between layers of the design and avoids any dependence by lower layers on the functionality or correctness of higher layers? ,9,Protect,,,X,There is no evidence of a capability to implement security functions as a layered structure that minimizes interactions between layers of the design and avoids any dependence by lower layers on the functionality or correctness of higher layers. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement security functions as a layered structure that minimizes interactions between layers of the design and avoids any dependence by lower layers on the functionality or correctness of higher layers. ",CC6.6,CC6.6-POF4,,12.2,,12.2,12.2,,,,SNT-01,,,,,,,,13.1.1,8.20,13.1.1,,,,,,,,,,"PR.AC-P5 PR.PT-P3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.AC-5,PR.IR-01,,1.3.7,1.4.1,,1.4.1,,,,,1.4.1,1.4.1,,N.2.4.6,1.1,5.2.7,,,,"ARCHITECTURE-2.B.MIL1 ARCHITECTURE-2.D.MIL2 ARCHITECTURE-2.H.MIL3 ARCHITECTURE-2.I.MIL3 ARCHITECTURE-2.J.MIL3 ARCHITECTURE-2.K.MIL3 ARCHITECTURE-2.L.MIL3",,5.4,5.10.1,,,,,,,,,,,,,,,,,,,,,,,,,,"D3.DC.Im.B.1 D3.DC.Im.Int.1",,,,,"6.S.A 6.S.B","6.M.A 6.M.B 6.M.D 9.M.B 9.M.E","6.M.A 6.M.B 6.M.D 9.M.B 9.M.E 2.L.F 5.L.B 6.L.A 6.L.E",3.3.6,,"CIP-005-5 R1",,16.1,,,,,,,,,"III.B III.B.2 III.B.2.a III.B.2.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-10,,,,9.17,,,,,,,,,,,,2-4-1-5,,,2-5-3-1,2-3-1-1,,,,,,,,,,"B4.a B5.b",,,,,,,,,,,,,,,,,,,,,13.1.1,,,,,,,4.4,,,,,,,,,"4.11 4.12 4.15",,,,,,,,,,,,x,,,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4",,,R-AC-3,R-AC-4,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Denial of Service (DoS) Protection,NET-02.1,Automated mechanisms exist to protect against or limit the effects of denial of service attacks. ,,,Does the organization use automated mechanisms to protect against or limit the effects of denial of service attacks? ,9,Protect,,X,X,There is no evidence of a capability to protect against or limit the effects of denial of service attacks. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect against or limit the effects of Denial of Service (DoS) attacks. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect against or limit the effects of Denial of Service (DoS) attacks. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect against or limit the effects of denial of service attacks. ",,,,,,,,,,,"OPA-08 OPA-09",,,"FR 7 (11.1) CR 7.1 (11.3.1) CR 7.1 (11.3.3(1))",,,,,,,,,,,,,,,,,,,,,SC-5,SC-5,SC-5,SC-5,SC-5,,SC-5,SC-5,SC-5,,,SC-5,SC-5,SC-5,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.36,,,,,,,,,,,,,,,,SC-5,,,,,,,,SC-5 ,SC-5 ,SC-5 ,SC-5 ,SC-5 ,SC-5,SC-5,SC-5,SC-5,SC-5,,,,,,,,6.M.B,6.M.A,,,,,,,,,,,SC-5,SC-5,SC-5,,,,,,,,,,,,,,,,,,SC-5,SC-5,SC-5,,,,,,,,,,,,,,,,,,,,,,,9.3,,,,,,,,,,,,2-4-1-8,TPC-92,,,,,,,,8.8.3 [MP.S.3],,,,,,,,,,,,,,,"1019 1431 1458 1435 1436 1805",,,,,,,,,,,,,,"18.3.18.C.01 18.3.19.C.01",,,,,11.2.7,,,,,,6.19,,"4.3 4.4",,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-EX-3 R-EX-4 R-GV-1 R-GV-2",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,,,R-EX-3,R-EX-4,,,,R-GV-1,R-GV-2,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Guest Networks,NET-02.2,Mechanisms exist to implement and manage a secure guest network. ,,,Does the organization implement and manage a secure guest network? ,6,Protect,,,X,There is no evidence of a capability to implement and manage a secure guest network. ,"SP-CMM1 is N/A, since a structured process is required to implement and manage a secure guest network. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies exist to implement and manage a secure guest network. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies exist to implement and manage a secure guest network. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and manage a secure guest network. ",,,,,,,,,,UEM-14,,,,,,,,,,,,,,,,,,TS-2.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.2.3,"1.2.3 1.3.3 2.3 11.2 11.2.1 11.2.2",,"1.2.3 1.3.3",,"1.2.3 1.3.3","1.3.3 11.2.1 11.2.2",1.3.3,"1.2.3 1.3.3 11.2.1 11.2.2","1.2.3 1.3.3 11.2.1 11.2.2",,U.1.9.7,,,,,,,,,,,,,SC.L1-b.1.xi,,,,,,,52.204-21(b)(1)(xi),,,,,,,,,,,,,,,,,,,,6.S.B,6.M.B,6.M.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0536,,,,,,,,,,,,,,18.2.6.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Cross Domain Solution (CDS),NET-02.3,Mechanisms exist to implement a Cross Domain Solution (CDS) to mitigate the specific security risks of accessing or transferring information between security domains.,,,Does the organization implement a Cross Domain Solution (CDS) to mitigate the specific security risks of accessing or transferring information between security domains?,6,Protect,,,X,There is no evidence of a capability to implement a Cross Domain Solution (CDS) to mitigate the specific security risks of accessing or transferring information between security domains.,"SP-CMM1 is N/A, since a structured process is required to implement a Cross Domain Solution (CDS) to mitigate the specific security risks of accessing or transferring information between security domains.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement a Cross Domain Solution (CDS) to mitigate the specific security risks of accessing or transferring information between security domains.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a Cross Domain Solution (CDS) to mitigate the specific security risks of accessing or transferring information between security domains.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1021.001, T1021.003, T1021.006, T1046, T1048, T1048.001, T1048.002, T1048.003, T1072, T1098, T1098.001, T1133, T1136, T1136.002, T1136.003, T1190, T1199, T1210, T1482, T1489, T1552.007, T1557, T1557.001, T1563, T1563.002, T1565, T1565.003",,,,,,,,,,,,SC-46,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.16.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.C.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-4-1-2,,,,,,,,,,,,,,,,,,,,"0626 0597 0635 1521 1522 0670 1523 0610",,,,,,,,,,,,,,"19.2.15.C.01 19.2.16.C.01 19.2.16.C.02 19.2.17.C.01 19.2.17.C.02 19.2.18.C.01 19.2.19.C.01 19.2.19.C.02 19.2.20.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Boundary Protection ,NET-03,Mechanisms exist to monitor and control communications at the external network boundary and at key internal boundaries within the network.,,,Does the organization monitor and control communications at the external network boundary and at key internal boundaries within the network?,10,Protect,,X,,There is no evidence of a capability to monitor and control communications at the external network boundary and at key internal boundaries within the network.,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Boundary protection technologies monitor and control communications at the external network boundary and at key internal boundaries within the network.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Boundary protection technologies monitor and control communications at the external network boundary and at key internal boundaries within the network.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor and control communications at the external network boundary and at key internal boundaries within the network.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor and control communications at the external network boundary and at key internal boundaries within the network.","CC6.1 CC6.6 CC6.8","CC6.1-POF5 CC6.6-POF1 CC6.6-POF3 CC6.6-POF4",,13.5,,13.5,13.5,,,,IOT-10,,,"CR 5.2 (9.4) NDR 5.2 (15.12.1) NDR 5.2 (15.12.3(1)) NDR 5.2 (15.12.3(2)) NDR 5.2 (15.12.3(3))",,,,,"13.1.1 13.1.2 ","8.20 8.21","13.1.1 13.1.2 ",,,,,,"T1001, T1001.001, T1001.002, T1001.003, T1008, T1020.001, T1021.001, T1021.002, T1021.003, T1021.005, T1021.006, T1029, T1030, T1041, T1046, T1048, T1048.001, T1048.002, T1048.003, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1068, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1080, T1090, T1090.001, T1090.002, T1090.003, T1095, T1098, T1098.001, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1114, T1114.003, T1132, T1132.001, T1132.002, T1133, T1136, T1136.002, T1136.003, T1176, T1187, T1189, T1190, T1197, T1199, T1203, T1204, T1204.001, T1204.002, T1204.003, T1205, T1205.001, T1210, T1211, T1212, T1218.012, T1219, T1221, T1482, T1489, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1505.004, T1530, T1537, T1542, T1542.004, T1542.005, T1552, T1552.001, T1552.004, T1552.005, T1552.007, T1557, T1557.001, T1557.002, T1559, T1559.001, T1559.002, T1560, T1560.001, T1563, T1563.002, T1565, T1565.001, T1565.003, T1566, T1566.001, T1566.002, T1566.003, T1567, T1567.001, T1567.002, T1568, T1568.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1598, T1598.001, T1598.002, T1598.003, T1599, T1599.001, T1602, T1602.001, T1602.002, T1609, T1610, T1611, T1612, T1613","TS-2.0 TS-2.4",,,,,,,"SC-7 SC-7(9) SC-7(11)",SC-7,SC-7,SC-7,"SC-7 SC-7(9) SC-7(11)",,,SC-7,SC-7,"SC-7(9) SC-7(11)",,,SC-7,SC-7,,SC-7,SC-7,SC-7,,SC-7,,3.13.1,"3.1.12.a 3.13.1.a 3.13.1.b 3.13.1.c","3.13.1[a] 3.13.1[b] 3.13.1[c] 3.13.1[d] 3.13.1[e] 3.13.1[f] 3.13.1[g] 3.13.1[h]","A.03.01.18.a[03] A.03.01.18.b A.03.13.01.a[01] A.03.13.01.a[02] A.03.13.01.a[03] A.03.13.01.a[04] A.03.13.01.c A.03.14.06.c[01] A.03.14.06.c[02]",3.13.4e,,PR.AC-5,PR.IR-01,,"1.1.3 1.1.4 1.2.1 1.2.3 1.3","1.3.3 1.4 1.4.1 1.4.2 11.5.1",,"1.3.3 1.4.1 1.4.2 11.5.1",,1.3.3,1.3.3,1.3.3,"1.3.3 1.4.1 1.4.2 11.5.1","1.3.3 1.4.1 1.4.2 11.5.1",,N.2.4.3,"1.1 1.4",,,,,ARCHITECTURE-2.F.MIL2,,"5.4 5.5",5.10.1.1,SC.L1-3.13.1,SC.L1-3.13.1,"SC.L1-3.13.1 TBD - 3.13.4e","SC.L1-b.1.x SC.L1-b.1.xi",SC.L2-3.13.1,"SC.L2-3.13.1 SC.L3-3.13.4e",SC-7,,,,"52.204-21(b)(1)(x) 52.204-21(b)(1)(xi)",,,,SC-7 ,SC-7 ,SC-7 ,SC-7 ,SC-7 ,SC-7,SC-7,SC-7,SC-7,SC-7,,,,,,,,"6.M.A 6.M.B",6.M.D,"3.3.6 SC-7 SC-7(9) SC-7(11)",,,8-701,16.1,6.8,,,,,SC-7 ,SC-7 ,SC-7 ,III.B.1.c,,,,,,,,,,,,,,,,,SC-7,SC-7,SC-7,,,,,,,,,,,,,,,,,,,"COS-04 PSS-10",,,,"9.3 9.18 9.23 10.9 11.8 16.4",,,,,,,,,,,,,TPC-76,,,"2-3-1-1 2-4-1-2 2-4-1-6",,,,,,,,,,B4.a,,1,,,,,,,,"0628 1192 0631 1427 0634 1037 0611 0612 1520 0613 0616 0629 0619 0622 1528 0639",,,,,,,,,,,"13.1.1 13.1.2",,,"19.1.10.C.01 19.1.11.C.01 19.1.11.C.02 19.1.12.C.01 19.1.13.C.01 19.1.14.C.01 19.1.14.C.02 19.1.15.C.01 19.1.16.C.01 19.1.16.C.02 19.1.17.C.01 19.1.17.C.02 19.1.18.C.01 19.1.18.C.02 19.1.19.C.01 19.1.19.C.02 19.1.19.C.03 19.1.19.C.04 19.1.19.C.05 19.1.20.C.01 19.1.20.C.02 19.1.20.C.03 19.1.21.C.01 19.1.22.C.01 19.1.22.C.02 19.1.22.C.03 19.1.23.C.01 19.3.8.C.01 19.3.8.C.02 19.3.8.C.03 19.3.8.C.04 19.3.9.C.01 19.3.9.C.02 19.3.9.C.03 19.4.4.C.01 19.4.5.C.01 19.4.5.C.02 19.4.5.C.03 19.4.6.C.01 19.5.24.C.01 19.5.24.C.02 19.5.24.C.03 19.5.24.C.04 19.5.24.C.05 19.5.24.C.06 19.5.24.C.07 19.5.24.C.08 19.5.25.C.01 19.5.26.C.01 19.5.26.C.02 19.5.26.C.03 19.5.26.C.04 19.5.26.C.05 19.5.26.C.06 19.5.26.C.07 19.5.26.C.08 19.5.26.C.09 19.5.26.C.10 19.5.26.C.11 19.5.26.C.12 19.5.27.C.01 19.5.27.C.02 19.5.27.C.03 19.5.27.C.04 19.5.27.C.05 19.5.27.C.06 19.5.28.C.01 19.5.28.C.02 19.5.28.C.03 19.5.28.C.04 19.5.28.C.05 19.5.28.C.06 19.5.28.C.07 19.5.29.C.01",,,,4.4,"11.2.5 11.2.6",,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Limit Network Connections,NET-03.1,Mechanisms exist to limit the number of concurrent external network connections to its systems. ,,,Does the organization limit the number of concurrent external network connections to its systems? ,9,Protect,,,X,There is no evidence of a capability to limit the number of concurrent external network connections to its systems. ,"SP-CMM1 is N/A, since a structured process is required to limit the number of concurrent external network connections to its systems. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit the number of concurrent external network connections to its systems. ","CC6.1 CC6.6",,,,,,,,,,"OPA-03 SWS-04",,,,,,,,,,,,,,,,,,,,,,,,SC-7(3),,SC-7(3),SC-7(3),"SC-7(3) SI-4(25)",,,SC-7(3),SC-7(3),SI-4(25),,,SC-7(3),SC-7(3),,,,,,,,NFO - SC-7(3),,,,,,,,,,"1.4.2 11.2.1",,1.4.2,,,11.2.1,,"1.4.2 11.2.1","1.4.2 11.2.1",,N.4,,,,,,,,,,,,,,,,SC-7(3),,,,,,,,SC-7(3) ,,SC-7(3) ,SC-7(3) ,,SC-7(3),,SC-7(3),SC-7(3),,,,,,,,,"6.M.A 6.M.B","6.M.A 6.M.B 6.L.A",SC-7(3),,,,,,,,,,,,SC-7(3) ,,,,,,,,,,,,,,,,,,,,SC-7(3),,,,,,,,,,,,,,,,,,,COS-04,,,,"9.10 9.11 16.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1314,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,External Telecommunications Services ,NET-03.2,Mechanisms exist to maintain a managed interface for each external telecommunication service that protects the confidentiality and integrity of the information being transmitted across each interface.,- Outbound content filtering,,Does the organization maintain a managed interface for each external telecommunication service that protects the confidentiality and integrity of the information being transmitted across each interface?,7,Protect,,X,X,There is no evidence of a capability to maintain a managed interface for each external telecommunication service that protects the confidentiality and integrity of the information being transmitted across each interface.,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a managed interface for each external telecommunication service that protects the confidentiality and integrity of the information being transmitted across each interface.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"SC-7(4) SC-7(9)",,SC-7(4),SC-7(4),"SC-7(4) SC-7(9)",,,SC-7(4),SC-7(4),SC-7(9),,,SC-7(4),SC-7(4),,,,,,,,NFO - SC-7(4),,,A.03.13.01.c,,,,,,,,,,,,,,,,,N.4,,,,,,,,,,,,,,,,SC-7(4),,,,,,,,SC-7(4) ,,SC-7(4) ,SC-7(4) ,,SC-7(4),,SC-7(4),SC-7(4),,,,,,,,,,,"SC-7(4) SC-7(9)",,,,,,,,,,,,SC-7(4) ,,,,,,,,,,,,,,,,,,,,SC-7(4),,,,,,,,,,,,,,,,,,,COS-03,,,,9.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1562 0546",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Prevent Discovery of Internal Information,NET-03.3,Mechanisms exist to prevent the public disclosure of internal network information. ,,,Does the organization prevent the public disclosure of internal network information? ,7,Protect,,,X,There is no evidence of a capability to prevent the public disclosure of internal network information. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the public disclosure of internal network information. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the public disclosure of internal network information. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-2.0,,,,,,,SC-7(16),,,,SC-7(16),,,,,SC-7(16),,,,,,,,,,,,,,,,,,,,,1.3.7,1.4.5,,1.4.5,,,,,1.4.5,1.4.5,,D.12.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-4 R-EX-4 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,,,,,R-EX-4,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Personal Data (PD),NET-03.4,Mechanisms exist to apply network-based processing rules to data elements of Personal Data (PD).,- Data Loss Prevention (DLP),,Does the organization apply network-based processing rules to data elements of Personal Data (PD)?,7,Protect,,X,X,There is no evidence of a capability to apply network-based processing rules to data elements of Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to apply network-based processing rules to data elements of Personal Data (PD).","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies apply network-based processing rules to data elements of Personal data (PD).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to apply network-based processing rules to data elements of Personal Data (PD).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to apply network-based processing rules to data elements of Personal Data (PD).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-7(24),SC-7(24),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Prevent Unauthorized Exfiltration,NET-03.5,Automated mechanisms exist to prevent the unauthorized exfiltration of sensitive/regulated data across managed interfaces. ,,,Does the organization use automated mechanisms to prevent the unauthorized exfiltration of sensitive/regulated data across managed interfaces? ,5,Protect,,X,X,There is no evidence of a capability to prevent the unauthorized exfiltration of sensitive/regulated data across managed interfaces. ,"SP-CMM1 is N/A, since a structured process is required to prevent the unauthorized exfiltration of sensitive/regulated data across managed interfaces. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Data Loss Prevention (DLP), or similar technologies, prevent unauthorized devices from connecting to endpoint devices to control the distribution of sensitive/regulated data.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Data Loss Prevention (DLP), or similar technologies, prevent unauthorized devices from connecting to endpoint devices to control the distribution of sensitive/regulated data. • A Security Operations Center (SOC), or similar function, monitors for evidence of unauthorized exfiltration or disclosure of organizational information. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the unauthorized exfiltration of sensitive/regulated data across managed interfaces. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the unauthorized exfiltration of sensitive/regulated data across managed interfaces. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-7(10),,,,SC-7(10),,,,,SC-7(10),,,,,,,,,,,,,,,,,,,,,,1.3.2,,1.3.2,,1.3.2,1.3.2,1.3.2,1.3.2,1.3.2,,D.10.8,,,,,,ARCHITECTURE-5.F.MIL2,,,,,,,,,,,,,,,,,,SC-7(10),,,SC-7(10),,SC-7(10),,,SC-7(10),,,,,,,,,,,SC-7(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Dynamic Isolation & Segregation (Sandboxing),NET-03.6,"Automated mechanisms exist to dynamically isolate (e.g., sandbox) untrusted components during runtime, where the component is isolated in a fault-contained environment but it can still collaborate with the application. ",,,"Does the organization use automated mechanisms to dynamically isolate (e?g?, sandbox) untrusted components during runtime, where the component is isolated in a fault-contained environment but it can still collaborate with the application? ",5,Protect,,,X,"There is no evidence of a capability to dynamically isolate (e.g., sandbox) untrusted components during runtime, where the component is isolated in a fault-contained environment but it can still collaborate with the application. ","SP-CMM1 is N/A, since a structured process is required to dynamically isolate (e.g., sandbox) untrusted components during runtime, where the component is isolated in a fault-contained environment but it can still collaborate with the application. ","SP-CMM2 is N/A, since a well-defined process is required to dynamically isolate (e.g., sandbox) untrusted components during runtime, where the component is isolated in a fault-contained environment but it can still collaborate with the application. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Security engineering, or a similar function, implements technologies capable of dynamically isolating (e.g., sandboxing) untrusted components during runtime, where the component is isolated in a fault-contained environment, but it can still collaborate with the application or network.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to dynamically isolate (e.g., sandbox) untrusted components during runtime, where the component is isolated in a fault-contained environment but it can still collaborate with the application. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to dynamically isolate (e.g., sandbox) untrusted components during runtime, where the component is isolated in a fault-contained environment but it can still collaborate with the application. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-7(20),,,,SC-7(20),,,,,SC-7(20),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.2.1,,,,,,,,,,,,,,,,,,,,,,,,SC-7(20),,,SC-7(20),,SC-7(20),,,SC-7(20),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-38,,,,,,,,,,,,,,,4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-IR-4",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,,,,,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Isolation of Information System Components,NET-03.7,"Mechanisms exist to employ boundary protections to isolate systems, services and processes that support critical missions and/or business functions. ",,,"Does the organization employ boundary protections to isolate systems, services and processes that support critical missions and/or business functions? ",5,Protect,,,X,"There is no evidence of a capability to employ boundary protections to isolate systems, services and processes that support critical missions and/ or business functions. ","SP-CMM1 is N/A, since a structured process is required to employ boundary protections to isolate systems, services and processes that support critical missions and/ or business functions. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies isolate security tools and support components from other internal system components by implementing separate subnetworks with managed interfaces to other components of the system. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ boundary protections to isolate systems, services and processes that support critical missions and/ or business functions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ boundary protections to isolate systems, services and processes that support critical missions and/ or business functions. ",,,,,,,,,,,,,,NDR 5.2 (15.12.3(2)),,,,,,,,,,,,,,,,,,,,,SC-7(21),,,SC-7(21),SC-7(21),,,,SC-7(21),,,,,SC-7(21),,,,,,,,,,,,3.13.4e,,,,,,1.3.3,,1.3.3,,1.3.3,1.3.3,1.3.3,1.3.3,1.3.3,,I.3.3,,,,,,"ARCHITECTURE-2.J.MIL3 ARCHITECTURE-2.K.MIL3 ARCHITECTURE-2.L.MIL3",,,,,,TBD - 3.13.4e,,,SC.L3-3.13.4e,,,,,,,,,SC-7(21),,,SC-7(21),,SC-7(21),,,SC-7(21),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5-1-3-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.6,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Separate Subnet for Connecting to Different Security Domains,NET-03.8,"Mechanisms exist to implement separate network addresses (e.g., different subnets) to connect to systems in different security domains.",,,"Does the organization implement separate network addresses (e?g?, different subnets) to connect to systems in different security domains?",5,Protect,,,X,"There is no evidence of a capability to implement separate network addresses (e.g., different subnets) to connect to systems in different security domains.","SP-CMM1 is N/A, since a structured process is required to implement separate network addresses (e.g., different subnets) to connect to systems in different security domains.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement separate network addresses (e.g., different subnets) to connect to systems in different security domains.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement separate network addresses (e.g., different subnets) to connect to systems in different security domains.",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-1.0,,,,,,,SC-7(22),,,,"SC-7(22) SC-7(29)",,,,,"SC-7(22) SC-7(29)",,,,,,,,,,,,,,,,3.13.4e,,,,,,"1.4 1.4.1",,1.4.1,,,,,1.4.1,1.4.1,,N.7.1,,,,,,"ARCHITECTURE-2.J.MIL3 ARCHITECTURE-2.K.MIL3 ARCHITECTURE-2.L.MIL3",,,,,,TBD - 3.13.4e,,,SC.L3-3.13.4e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"TPC-38 TPC-40",,,2-4-1-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.1.11.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Data Flow Enforcement – Access Control Lists (ACLs),NET-04,"Mechanisms exist to design, implement and review firewall and router configurations to restrict connections between untrusted networks and internal systems. ","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)","E-AST-12 E-AST-19","Does the organization design, implement and review firewall and router configurations to restrict connections between untrusted networks and internal systems? ",10,Protect,,X,X,"There is no evidence of a capability to design, implement and review firewall and router configurations to restrict connections between untrusted networks and internal systems. ","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes enforce the use of human reviews for Access Control Lists (ACLs) and similar rulesets on a routine basis. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","CC6.1 CC6.6","CC6.1-POF6 CC6.6-POF1",,"3.3 4.6 12.6 13.4","3.3 4.6","3.3 4.6 12.6 13.4","3.3 4.6 12.6 13.4",,,,,,,,,,,,"9.4.1 13.1.1","5.14 8.3 8.20","9.4.1 13.1.1",,"6.6.4.1 6.10 6.10.1 6.10.1.1 6.11.1.2",,,,"T1001, T1001.001, T1001.002, T1001.003, T1003, T1003.001, T1003.005, T1003.006, T1008, T1020.001, T1021.001, T1021.002, T1021.003, T1021.005, T1021.006, T1029, T1030, T1041, T1046, T1048, T1048.001, T1048.002, T1048.003, T1068, T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1072, T1090, T1090.001, T1090.002, T1090.003, T1095, T1098, T1098.001, T1102, T1102.001, T1102.002, T1102.003, T1104, T1105, T1114, T1114.001, T1114.002, T1114.003, T1132, T1132.001, T1132.002, T1133, T1134.005, T1136, T1136.002, T1136.003, T1187, T1189, T1190, T1197, T1199, T1203, T1204, T1204.001, T1204.002, T1204.003, T1205, T1205.001, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1218.012, T1219, T1482, T1484, T1489, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1505.004, T1528, T1530, T1537, T1547.003, T1552, T1552.001, T1552.005, T1552.007, T1557, T1557.001, T1557.002, T1559, T1559.001, T1559.002, T1563, T1563.002, T1564.008, T1565, T1565.003, T1566, T1566.001, T1566.002, T1566.003, T1567, T1567.001, T1567.002, T1568, T1568.002, T1570, T1571, T1572, T1573, T1573.001, T1573.002, T1574, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1598, T1598.001, T1598.002, T1598.003, T1599, T1599.001, T1601, T1601.001, T1601.002, T1602, T1602.001, T1602.002, T1611","TS-1.0 TS-2.4",,,,,,,AC-4,,AC-4,AC-4,AC-4,,,AC-4,AC-4,,,,AC-4,AC-4,,AC-4,,AC-4,,AC-4,AC-4,3.1.3,"3.1.3 3.13.1.a 3.13.1.c","3.1.3[a] 3.1.3[b] 3.1.3[c] 3.1.3[d] 3.1.3[e]",A.03.01.03,"3.1.3e 3.14.3e",,,,,"1.1 1.1.1 1.1.2 1.1.3 1.1.4 1.1.5 1.1.6 1.1.7 1.2 1.2.1 1.2.2 1.2.3 1.3.3 1.3.5 7.2 7.2.1 7.2.2 7.2.3","1.1 1.3 1.3.1 1.3.2 1.4.2 1.4.3",,"1.3.1 1.3.2 1.4.2 1.4.3",,"1.3.1 1.3.2 1.4.3","1.3.1 1.3.2","1.3.1 1.3.2","1.3.1 1.3.2 1.4.2 1.4.3","1.3.1 1.3.2 1.4.2 1.4.3",,N.2.1,,,,,,ARCHITECTURE-2.F.MIL2,TM:SG4.SP1,5.5,"5.5.2.4 5.10.1",,AC.L2-3.1.3,"AC.L2-3.1.3 TBD - 3.1.3e TBD - 3.14.3e",,AC.L2-3.1.3,"AC.L2-3.1.3 AC.L3-3.1.3e SI.L3-3.14.3e",AC-4,,,,,,,,AC-4 ,,AC-4 ,AC-4 ,,AC-4,,AC-4,AC-4,,,,,,,,,6.M.A,6.M.A,AC-4,,"CIP-007-6 R1",,,6.4,,,,,,AC-4 ,AC-4 ,III.B.1.d,,,,,,,,,,,,,622(2)(d)(C)(iii),,,,,,AC-4,,,,,,,,,,,,,,,,,,,COS-03,,,,"9.12 9.16 10.9 12.11",,,,,,,,,,,,"2-4-1-4 2-4-1-6 2-4-1-7 2-4-1-9",,,2-5-3-5,"2-4-1-6 2-4-1-7 2-4-1-8 2-4-1-10 2-4-1-14 2-4-1-16",,,,,,,,,,,,,,,,,,,,"1386 0643 0645 1157 1158",,,,,,,,,,,"9.4.1 9.4.1.8.PB 13.1.1",,,"18.1.13.C.01 18.1.13.C.02 18.1.14.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,OR 6464A,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Deny Traffic by Default & Allow Traffic by Exception,NET-04.1,"Mechanisms exist to configure firewall and router configurations to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). ",,"E-AST-12 E-AST-19","Does the organization configure firewall and router configurations to deny network traffic by default and allow network traffic by exception (e?g?, deny all, permit by exception)? ",10,Protect,,X,X,"There is no evidence of a capability to configure firewall and router configurations to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). ","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.6,"CC6.6-POF1 CC6.6-POF3",,13.4,,13.4,13.4,,,,,,,"FR 5 (9.1) CR 5.3 (9.5)",,,,,13.2.1 ,"5.14 8.20",13.2.1 ,,6.10.2.1,,,,,"TS-2.4 TS-2.8",,,,,,,"CA-3(5) SC-7(5) SC-7(11)",,"CA-3(5) SC-7(5)","CA-3(5) SC-7(5)","SC-7(5) SC-7(11)",,,SC-7(5),SC-7(5),SC-7(11),,,SC-7(5),SC-7(5),,,,,,,,"3.13.6 NFO - CA-3(5)","3.13.1.a 3.13.6","3.13.6[a] 3.13.6[b]","A.03.13.06[01] A.03.13.06[02]",,,,PR.IR-01,,"1.2.1 1.3 1.3.1 1.3.2 1.3.3 1.3.4 1.3.5 1.3.6 1.3.7","1.3 1.3.1 1.3.2 1.3.3 1.4.2",,"1.3.1 1.3.2 1.3.3 1.4.2",,"1.3.1 1.3.2 1.3.3","1.3.1 1.3.2 1.3.3","1.3.1 1.3.2 1.3.3","1.3.1 1.3.2 1.3.3 1.4.2","1.3.1 1.3.2 1.3.3 1.4.2",,N.2.2.1,"1.4 1.5 2.5A",,,,,,,5.5,,,SC.L2-3.13.6,SC.L2-3.13.6,,SC.L2-3.13.6,SC.L2-3.13.6,"CA-3(5) SC-7(5)",,,,,,,,"CA-3(5) SC-7(5) ",,"CA-3(5) SC-7(5)","CA-3(5) SC-7(5)",,SC-7(5),,SC-7(5),SC-7(5),,,,,,,,,,,"SC-7(5) SC-7(11)",,,,,6.4,,,,,,SC-7(5) ,"CA-3(5) SC-7(5) ",,,,,,,,,,,,,,,,,,,,"CA-3(5) SC-7(5)",,,,,,,,,,,,,,,,,,,,,,,"9.12 12.9",,,,,,,,,,,,"2-4-1-4 2-4-1-6 2-4-1-7 2-4-1-9",TPC-36,,,"2-4-1-6 2-4-1-8 2-4-1-14",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,13.2.1,,,"18.1.13.C.01 18.1.13.C.02 18.1.14.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Object Security Attributes ,NET-04.2,"Mechanisms exist to associate security attributes with information, source and destination objects to enforce defined information flow control configurations as a basis for flow control decisions. ",- NNT Change Tracker (https://www.newnettechnologies.com),,"Does the organization associate security attributes with information, source and destination objects to enforce defined information flow control configurations as a basis for flow control decisions? ",5,Protect,,,X,"There is no evidence of a capability to associate security attributes with information, source and destination objects to enforce defined information flow control configurations as a basis for flow control decisions. ","SP-CMM1 is N/A, since a structured process is required to associate security attributes with information, source and destination objects to enforce defined information flow control configurations as a basis for flow control decisions. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to associate security attributes with information, source and destination objects to enforce defined information flow control configurations as a basis for flow control decisions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to associate security attributes with information, source and destination objects to enforce defined information flow control configurations as a basis for flow control decisions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(1),,,,AC-4(1),,,,,AC-4(1),,,,,,,,,,,,,,,,3.1.3e,,,,,,,,,,,,,,,,D.1.1.5,,,,,,,,,,,,TBD - 3.1.3e,,,AC.L3-3.1.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Content Check for Encrypted Data,NET-04.3,Mechanisms exist to prevent encrypted data from bypassing content-checking mechanisms. ,,,Does the organization prevent encrypted data from bypassing content-checking mechanisms? ,4,Protect,,,X,There is no evidence of a capability to prevent encrypted data from bypassing content-checking mechanisms. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies prevent encrypted data from bypassing content-checking mechanisms. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies prevent encrypted data from bypassing content-checking mechanisms. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent encrypted data from bypassing content-checking mechanisms. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(4),,,,AC-4(4),,,,AC-4(4),,,,,AC-4(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,D.10.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(4),,,AC-4(4),,,,,,,,,,"6.L.B 8.L.F",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Embedded Data Types,NET-04.4,Mechanisms exist to enforce limitations on embedding data within other data types. ,- Prevent exfiltration through steganography,,Does the organization enforce limitations on embedding data within other data types? ,2,Protect,,,X,There is no evidence of a capability to enforce limitations on embedding data within other data types. ,"SP-CMM1 is N/A, since a structured process is required to enforce limitations on embedding data within other data types. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce limitations on embedding data within other data types. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(5),,,,AC-4(5),,,,,AC-4(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Metadata ,NET-04.5,Mechanisms exist to enforce information flow controls based on metadata. ,,,Does the organization enforce information flow controls based on metadata? ,2,Protect,,X,X,There is no evidence of a capability to enforce information flow controls based on metadata. ,"SP-CMM1 is N/A, since a structured process is required to enforce information flow controls based on metadata. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies enforce information flow controls based on metadata.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies enforce information flow controls based on metadata.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce information flow controls based on metadata. ",,,,,,,,,,,"DAT-01 DAT-02 GVN-06",,,,,,,,,,,,,,,,,,,,,,,,AC-4(6),,,,AC-4(6),,,,,AC-4(6),,,,,,AC-4(6),,,,AC-4(6),AC-4(6),,,,,3.1.3e,,,,,,,,,,,,,,,,D.16.6,,,,,,,,,,,,TBD - 3.1.3e,,,AC.L3-3.1.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"OPS-11 OPS-12",,,,9.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Human Reviews,NET-04.6,Mechanisms exist to enforce the use of human reviews for Access Control Lists (ACLs) and similar rulesets on a routine basis. ,,E-AST-12,Does the organization enforce the use of human reviews for Access Control Lists (ACLs) and similar rulesets on a routine basis? ,9,Detect,,X,,There is no evidence of a capability to enforce the use of human reviews for Access Control Lists (ACLs) and similar rulesets on a routine basis. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature. • Administrative processes enforce the use of human reviews for Access Control Lists (ACLs) and similar rulesets on a routine basis. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes enforce the use of human reviews for Access Control Lists (ACLs) and similar rulesets on a routine basis. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce the use of human reviews for Access Control Lists (ACLs) and similar rulesets on a routine basis. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-2.4,,,,,,,AC-4(9),,,,AC-4(9),,,,,AC-4(9),,,,,,,,,,,,,,,,,,,,,1.1.7,1.2.7,,1.2.7,,,,,1.2.7,1.2.7,,N.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,COS-03,,,,9.24,,,,,,,,,,,,"2-3-1-6 2-4-1-2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.5,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Security Policy Filters,NET-04.7,Automated mechanisms exist to enforce information flow control using security policy filters as a basis for flow control decisions.,,,Does the organization use automated mechanisms to enforce information flow control using security policy filters as a basis for flow control decisions?,5,Protect,,X,X,There is no evidence of a capability to enforce information flow control using security policy filters as a basis for flow control decisions.,"SP-CMM1 is N/A, since a structured process is required to enforce information flow control using security policy filters as a basis for flow control decisions.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce information flow control using security policy filters as a basis for flow control decisions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce information flow control using security policy filters as a basis for flow control decisions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(8),,,,AC-4(8),,,,,AC-4(8),,,,,,,,,,,,,,,,3.1.3e,,,,,,,,,,,,,,,,D.5.5,,,,,,,,,,,,TBD - 3.1.3e,,,AC.L3-3.1.3e,,,,,,,,,AC-4(8),,,AC-4(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0649,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Data Type Identifiers,NET-04.8,Automated mechanisms exist to utilize data type identifiers to validate data essential for information flow decisions when transferring information between different security domains.,,,Does the organization use automated mechanisms to utilize data type identifiers to validate data essential for information flow decisions when transferring information between different security domains?,5,Protect,,,X,There is no evidence of a capability to utilize data type identifiers to validate data essential for information flow decisions when transferring information between different security domains.,"SP-CMM1 is N/A, since a structured process is required to utilize data type identifiers to validate data essential for information flow decisions when transferring information between different security domains.","SP-CMM2 is N/A, since a well-defined process is required to utilize data type identifiers to validate data essential for information flow decisions when transferring information between different security domains.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies enforce limitations on embedding data within other data types. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize data type identifiers to validate data essential for information flow decisions when transferring information between different security domains.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize data type identifiers to validate data essential for information flow decisions when transferring information between different security domains.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(12),,,,AC-4(12),,,,,AC-4(12),,,,,,,,,,,,,,,,3.1.3e,,,,,,,,,,,,,,,,D.1.1.5,,,,,,,,,,,,TBD - 3.1.3e,,,AC.L3-3.1.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Decomposition Into Policy-Related Subcomponents,NET-04.9,"Automated mechanisms exist to decompose information into policy-relevant subcomponents for submission to policy enforcement mechanisms, when transferring information between different security domains.",,,"Does the organization use automated mechanisms to decompose information into policy-relevant subcomponents for submission to policy enforcement mechanisms, when transferring information between different security domains?",5,Protect,,,X,"There is no evidence of a capability to decompose information into policy-relevant subcomponents for submission to policy enforcement mechanisms, when transferring information between different security domains.","SP-CMM1 is N/A, since a structured process is required to decompose information into policy-relevant subcomponents for submission to policy enforcement mechanisms, when transferring information between different security domains.","SP-CMM2 is N/A, since a well-defined process is required to decompose information into policy-relevant subcomponents for submission to policy enforcement mechanisms, when transferring information between different security domains.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to decompose information into policy-relevant subcomponents for submission to policy enforcement mechanisms, when transferring information between different security domains.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to decompose information into policy-relevant subcomponents for submission to policy enforcement mechanisms, when transferring information between different security domains.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(13),,,,AC-4(13),,,,,AC-4(13),,,,,,,,,,,,,,,,3.1.3e,,,,,,,,,,,,,,,,D.3.4,,,,,,,,,,,,TBD - 3.1.3e,,,AC.L3-3.1.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Detection of Unsanctioned Information,NET-04.10,"Automated mechanisms exist to implement security policy filters requiring fully enumerated formats that restrict data structure and content, when transferring information between different security domains.",,,"Does the organization use automated mechanisms to implement security policy filters requiring fully enumerated formats that restrict data structure and content, when transferring information between different security domains?",5,Detect,,X,X,"There is no evidence of a capability to implement security policy filters requiring fully enumerated formats that restrict data structure and content, when transferring information between different security domains.","SP-CMM1 is N/A, since a structured process is required to implement security policy filters requiring fully enumerated formats that restrict data structure and content, when transferring information between different security domains.","SP-CMM2 is N/A, since a well-defined process is required to implement security policy filters requiring fully enumerated formats that restrict data structure and content, when transferring information between different security domains.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement security policy filters requiring fully enumerated formats that restrict data structure and content, when transferring information between different security domains.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(15),,,,AC-4(15),,,,,AC-4(15),,,,,,,,,,,,,,,,3.1.3e,,,,,,,,,,,,,,,,D.5.1,,,,,,,,,,,,TBD - 3.1.3e,,,AC.L3-3.1.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-SA-1",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Approved Solutions,NET-04.11,"Automated mechanisms exist to examine information for the presence of unsanctioned information and prohibits the transfer of such information, when transferring information between different security domains.",,,"Does the organization use automated mechanisms to examine information for the presence of unsanctioned information and prohibits the transfer of such information, when transferring information between different security domains?",5,Protect,,X,,"There is no evidence of a capability to examine information for the presence of unsanctioned information and prohibits the transfer of such information, when transferring information between different security domains.","SP-CMM1 is N/A, since a structured process is required to examine information for the presence of unsanctioned information and prohibits the transfer of such information, when transferring information between different security domains.","SP-CMM2 is N/A, since a well-defined process is required to examine information for the presence of unsanctioned information and prohibits the transfer of such information, when transferring information between different security domains.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(20),,,,AC-4(20),,,,,AC-4(20),,,,,,,,,,,,,,,,3.1.3e,,,,,,,,,,,,,,,,D.5.5,,,,,,,,,,,,TBD - 3.1.3e,,,AC.L3-3.1.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-SA-1",,,,,,,R-AM-3,,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Cross Domain Authentication,NET-04.12,Automated mechanisms exist to uniquely identify and authenticate source and destination points for information transfer.,,,Does the organization use automated mechanisms to uniquely identify and authenticate source and destination points for information transfer?,5,Protect,,,,There is no evidence of a capability to uniquely identify and authenticate source and destination points for information transfer.,"SP-CMM1 is N/A, since a structured process is required to uniquely identify and authenticate source and destination points for information transfer.","SP-CMM2 is N/A, since a well-defined process is required to uniquely identify and authenticate source and destination points for information transfer.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to uniquely identify and authenticate source and destination points for information transfer.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to uniquely identify and authenticate source and destination points for information transfer.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(17),,,,,,,,,,,AC-4(17),,,,AC-4(17),AC-4(17),,,,,,,,,,,,,,,,,,,,,D.3.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,,,,,,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,,, Network Security,Metadata Validation,NET-04.13,Automated mechanisms exist to apply cybersecurity and/or data privacy filters on metadata.,,,Does the organization use automated mechanisms to apply cybersecurity and/or data privacy filters on metadata?,2,Protect,,,,There is no evidence of a capability to apply security and/ or data privacy filters on metadata.,"SP-CMM1 is N/A, since a structured process is required to apply security and/ or data privacy filters on metadata.","SP-CMM2 is N/A, since a well-defined process is required to apply security and/ or data privacy filters on metadata.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to apply security and/ or data privacy filters on metadata.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to apply security and/ or data privacy filters on metadata.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-4(19),,,,,,,,,,,AC-4(19),,,,AC-4(19),AC-4(19),,,,,,,,,,,,,,,,,,,,,D.16.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,,,,,,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,,, Network Security,System Interconnections,NET-05,"Mechanisms exist to authorize connections from systems to other systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated.",- VisibleOps security management,,"Does the organization authorize connections from systems to other systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated?",9,Protect,,,X,"There is no evidence of a capability to authorize connections from systems to other systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated.","SP-CMM1 is N/A, since a structured process is required to authorize connections from systems to other systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to authorize connections from systems to other systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to authorize connections from systems to other systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1020.001, T1041, T1048, T1048.002, T1048.003, T1567",,,,,,,,"CA-3 CA-3(1) CA-3(2)",CA-3,CA-3,CA-3,"CA-3 SC-7(25) SC-7(26)",,CA-3,CA-3,CA-3,"SC-7(25) SC-7(26)",,CA-3,CA-3,CA-3,,CA-3,CA-3,CA-3,,,CA-3,NFO - CA-3,"3.1.3 3.12.5.a 3.12.5.b 3.12.5.c",,"A.03.01.03 A.03.12.05.a A.03.12.05.b[01] A.03.12.05.b[02] A.03.12.05.b[03] A.03.12.05.c[01] A.03.12.05.c[02] A.03.12.05.ODP[01]",,,,,,,,,,,,,,,,,N.11.1,,,,,,,EXD:SG3.SP4,,,,,,,,,CA-3,,,,,,,,CA-3 ,CA-3 ,CA-3 ,CA-3 ,CA-3 ,CA-3,CA-3,CA-3,CA-3,CA-3,,,,,,,,,,CA-3,,,8-610,4.3,,,,,,CA-3 ,CA-3 ,CA-3 ,,,,,,,,,,,,,,,,,,CA-3,CA-3,CA-3,,,,,,,,,,,,,,,,,,,COS-03,,,,16.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,External System Connections,NET-05.1,Mechanisms exist to prohibit the direct connection of a sensitive system to an external network without the use of an organization-defined boundary protection device. ,,,Does the organization prohibit the direct connection of a sensitive system to an external network without the use of an organization-defined boundary protection device? ,8,Protect,,,X,There is no evidence of a capability to prohibit the direct connection of a sensitive system to an external network without the use of an organization-defined boundary protection device. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes authorize connections from systems toother systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies control external system connections through authorizing external connections of systems and documenting, for each external connection, the interface characteristics, security requirements and the nature of the information communicated. • Administrative processes authorize connections from systems to other systems using Interconnection Security Agreements (ISAs) that document, for each interconnection, the interface characteristics, cybersecurity & data privacy requirements and the nature of the information communicated.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the direct connection of a sensitive system to an external network without the use of an organization-defined boundary protection device. ",CC6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-2.13,,,,,,,CA-3(3),,,,SC-7(27),,,,,SC-7(27),,,,,,,,,,,,,,,,,,,,,"1.3 1.3.3 1.3.5",1.4.4,,1.4.4,,,,,1.4.4,1.4.4,,N.2.1,,,,,,,,,,,,,AC.L1-b.1.iii,,,,,,,52.204-21(b)(1)(iii),,,,CA-3(3) ,,CA-3(3) ,CA-3(3) ,,,,,,,,,,,,,,,,,,,,,6.4,,,,,,,CA-3(3) ,III.B.1.b,,,,,,,,,,,,,,,,,,,CA-3(3),,,,,,,,,,,,,,,,,,,,,,,"9.11 12.8 16.4",,,,,,,,,,,,,TPC-36,,5-1-3-2,2-3-1-13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"14.1.13.C.01 14.1.13.C.02 14.1.13.C.03",,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-SA-1",R-AC-1,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Internal System Connections,NET-05.2,"Mechanisms exist to control internal system connections through authorizing internal connections of systems and documenting, for each internal connection, the interface characteristics, security requirements and the nature of the information communicated.",,,"Does the organization control internal system connections through authorizing internal connections of systems and documenting, for each internal connection, the interface characteristics, security requirements and the nature of the information communicated?",7,Protect,,,X,"There is no evidence of a capability to control internal system connections through authorizing internal connections of systems and documenting, for each internal connection, the interface characteristics, security requirements and the nature of the information communicated.","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies control internal system connections through authorizing internal connections of systems and documenting, for each internal connection, the interface characteristics, security requirements and the nature of the information communicated.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control internal system connections through authorizing internal connections of systems and documenting, for each internal connection, the interface characteristics, security requirements and the nature of the information communicated.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-9,CA-9,CA-9,CA-9,CA-9,,CA-9,CA-9,CA-9,,,CA-9,CA-9,CA-9,,,,,,,,NFO - CA-9,"3.1.3 3.12.5.a 3.12.5.b 3.12.5.c",,"A.03.01.03 A.03.01.18.a[03] A.03.01.18.b A.03.12.05.b[01] A.03.12.05.b[02] A.03.12.05.b[03]",,,,,,,,,,,,,,,,,N.20,,,,,,,"COMM:SG2.SP1 TM:SG2.SP2",,,,,,,,,CA-9,,,,,,,,CA-9,CA-9,CA-9,CA-9,CA-9,CA-9,CA-9,CA-9,CA-9,CA-9,,,,,,,,,,CA-9,,,"8-610 8-700",,,,,,,CA-9,CA-9,CA-9,,,,,,,,,,,,,,,,,,CA-9,CA-9,CA-9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5-1-3-1,2-3-1-13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-SA-1",R-AC-1,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Network Segmentation,NET-06,"Mechanisms exist to ensure network architecture utilizes network segmentation to isolate systems, applications and services that protections from other network resources.","- Subnetting - VLANs",,"Does the organization ensure network architecture utilizes network segmentation to isolate systems, applications and services that protections from other network resources?",10,Protect,,,X,"There is no evidence of a capability to ensure network architecture utilizes network segmentation to isolate systems, applications and services that protections from other network resources.","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes require De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks. • IT/cybersecurity architects maintain a segmented development network to ensure a secure development environment. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes require De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks. • IT/cybersecurity architects maintain a segmented development network to ensure a secure development environment. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure network architecture utilizes network segmentation to isolate systems, applications and services that protections from other network resources.",CC6.1,CC6.1-POF4,,,,,,,,IVS-06,SAP-01,,,CR 5.1 (9.3.1),,,,,13.1.3,"8.20 8.22","CLD.9.5.1 13.1.3",,,,,,,TS-2.5,,,PR.AC-P5,,,,AC-4(21),,,,AC-4(21),,,,,AC-4(21),,,,,,AC-4(21),,,,,AC-4(21),3.13.5,3.13.1.b,"3.13.5[a] 3.13.5[b]",A.03.13.01.b,,,PR.AC-5,,,,"1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.2.10 1.3 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5 11.4.6 12.5.2 A1.1.4 A3.2.1 A3.2.4",,"1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5",,"1.2.3 1.2.5 1.2.6 1.3.1 1.3.2 1.3.3 11.4.5","1.3.1 1.3.2 1.3.3 11.4.5","1.3.1 1.3.2 1.3.3","1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5 12.5.2","1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5 11.4.6 12.5.2 A1.1.4",,N.2.4.5,"1.1 1.4 1.5",5.2.7,,,,"ARCHITECTURE-2.B.MIL1 ARCHITECTURE-2.D.MIL2 ARCHITECTURE-2.H.MIL3 ARCHITECTURE-2.I.MIL3 ARCHITECTURE-2.J.MIL3 ARCHITECTURE-2.K.MIL3 ARCHITECTURE-2.L.MIL3",,"5.5 8.1",,SC.L1-3.13.5,SC.L1-3.13.5,SC.L1-3.13.5,SC.L1-b.1.xi,SC.L2-3.13.5,SC.L2-3.13.5,,,,,52.204-21(b)(1)(xi),,,,AC-4(21) ,,AC-4(21) ,AC-4(21) ,,AC-4(21),,AC-4(21),AC-4(21),,,,,,,,,6.M.B,6.M.B,,,,,,6.9,,,,,,,AC-4(21) ,III.B,,,,,,,,,,,,,,,,,,,AC-4(21),,,,3.4.4(36)(c),,,,,,,,,,,,,,,COS-06,,,,"9.2 9.18 9.19 10.8 12.4 12.5 12.11",,,,,,,,,,,,"2-3-1-4 2-4-1-1","TPC-38 TPC-40",,"5-1-3-1 5-1-3-2","2-4-1-1 2-4-1-2 2-4-1-3 2-4-1-5 2-4-1-10",,,,,8.4.4 [MP.COM.4],,,,,B5.b,,,,,,,,,,"1181 1577",,,,,,,,,,,"13.1.3 13.1.4.P",,,,,,,,11.2.6,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Security Management Subnets,NET-06.1,Mechanisms exist to implement security management subnets to isolate security tools and support components from other internal system components by implementing separate subnetworks with managed interfaces to other components of the system. ,,,Does the organization implement security management subnets to isolate security tools and support components from other internal system components by implementing separate subnetworks with managed interfaces to other components of the system? ,9,Protect,,,X,There is no evidence of a capability to implement security management subnets to isolate security tools and support components from other internal system components by implementing separate subnetworks with managed interfaces to other components of the system. ,"SP-CMM1 is N/A, since a structured process is required to implement security management subnets to isolate security tools and support components from other internal system components by implementing separate subnetworks with managed interfaces to other components of the system. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement security management subnets to isolate security tools and support components from other internal system components by implementing separate subnetworks with managed interfaces to other components of the system. ",CC6.1,CC6.1-POF4,,,,,,,,IVS-06,SAP-01,,,,,,,,,8.22,CLD.9.5.1,,,,,,,,,,,,,,SC-7(13),,,,"SC-7(13) SC-7(29)",,,,,"SC-7(13) SC-7(29)",,,,,,SC-7(13),,SC-7(13),,,SC-7(13),,,,,3.13.4e,,,,,,,,,,,,,,,,H.2.13.3,,,,,,,,,,,,TBD - 3.13.4e,,,SC.L3-3.13.4e,SC-7(13),,,,,,,,SC-7(13) ,,SC-7(13) ,SC-7(13) ,,,,,,,,,,,,,,,,,,,,,6.9,,,,,,SC-7(13) ,SC-7(13) ,,,,,,,,,,,,,,,,,,,,SC-7(13),,,,,,,,,,,,,,,,,,,COS-04,,,,"9.2 12.4 12.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1385 1750",,,,,,,,,,,13.1.4.P,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Virtual Local Area Network (VLAN) Separation,NET-06.2,Mechanisms exist to enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems. ,- Virtual Local Area Network (VLAN),,Does the organization enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems? ,9,Protect,,,X,There is no evidence of a capability to enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems. ",,,,,,,,,,IVS-06,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.2.4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.F,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1532 0529 1364 0535 0530",,,,,,,,,,,,,,"22.3.9.C.01 22.3.9.C.02 22.3.9.C.03 22.3.9.C.04 22.3.10.C.01 22.3.11.C.01 22.3.11.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Sensitive / Regulated Data Enclave (Secure Zone),NET-06.3,Mechanisms exist to implement segmentation controls to restrict inbound and outbound connectivity for sensitive / regulated data enclaves (secure zones). ,,,Does the organization implement segmentation controls to restrict inbound and outbound connectivity for sensitive / regulated data enclaves (secure zones)? ,10,Protect,,,X,There is no evidence of a capability to implement segmentation controls to restrict inbound and outbound connectivity for sensitive / regulated data enclaves (secure zones). ,"SP-CMM1 is N/A, since a structured process is required to implement segmentation controls to restrict inbound and outbound connectivity for sensitive / regulated data enclaves (secure zones). ","SP-CMM2 is N/A, since a well-defined process is required to implement segmentation controls to restrict inbound and outbound connectivity for sensitive / regulated data enclaves (secure zones). ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies enable Virtual Local Area Networks (VLANs) to limit the ability of devices on a network to directly communicate with other devices on the subnet and limit an attacker's ability to laterally move to compromise neighboring systems","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement segmentation controls to restrict inbound and outbound connectivity for sensitive / regulated data enclaves (secure zones). ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement segmentation controls to restrict inbound and outbound connectivity for sensitive / regulated data enclaves (secure zones). ",,,,,,,,,,,,,,,,,,,,,CLD.9.5.1,,,,,,,TS-2.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.13.1.b,,,,,,,,,,,,,,,,,,,N.7.1,"1.4 1.5",5.2.7,,,,ARCHITECTURE-2.L.MIL3,,5.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,III.B.1.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-4-1-6 2-4-1-7","TPC-38 TPC-40",,,2-4-1-1,,,,,,,,,,,,,,,,Principle 5.6,Principle 5.7,,,,,,,,,,,,,,13.1.4.P,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Network Security,Segregation From Enterprise Services,NET-06.4,"Mechanisms exist to isolate sensitive / regulated data enclaves (secure zones) from corporate-provided IT resources by providing enclave-specific IT services (e.g., directory services, DNS, NTP, ITAM, antimalware, patch management, etc.) to those isolated network segments.",,,"Does the organization isolate sensitive / regulated data enclaves (secure zones) from corporate-provided IT resources by providing enclave-specific IT services (e?g?, directory services, DNS, NTP, ITAM, antimalware, patch management, etc?) to those isolated network segments?",4,Protect,,,X,"There is no evidence of a capability to isolate sensitive / regulated data enclaves (secure zones) from corporate-provided IT resources by providing enclave-specific IT services (e.g., directory services, DNS, NTP, ITAM, antimalware, patch management, etc.) to those isolated network segments.","SP-CMM1 is N/A, since a structured process is required to isolate sensitive / regulated data enclaves (secure zones) from corporate-provided IT resources by providing enclave-specific IT services (e.g., directory services, DNS, NTP, ITAM, antimalware, patch management, etc.) to those isolated network segments.","SP-CMM2 is N/A, since a well-defined process is required to isolate sensitive / regulated data enclaves (secure zones) from corporate-provided IT resources by providing enclave-specific IT services (e.g., directory services, DNS, NTP, ITAM, antimalware, patch management, etc.) to those isolated network segments.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to isolate sensitive / regulated data enclaves (secure zones) from corporate-provided IT resources by providing enclave-specific IT services (e.g., directory services, DNS, NTP, ITAM, Anti-malware, patch management, etc.) to those isolated network segments.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to isolate sensitive / regulated data enclaves (secure zones) from corporate-provided IT resources by providing enclave-specific IT services (e.g., directory services, DNS, NTP, ITAM, antimalware, patch management, etc.) to those isolated network segments.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.7.2,1.5,,,,,"ARCHITECTURE-2.J.MIL3 ARCHITECTURE-2.K.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-2-1-1 2-4-1-3 2-4-1-9 2-4-1-10 2-4-1-11 2-4-1-12 2-4-1-13",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Network Security,Direct Internet Access Restrictions,NET-06.5,"Mechanisms exist to prohibit, or strictly-control, Internet access from sensitive / regulated data enclaves (secure zones).",,,"Does the organization prohibit, or strictly-control, Internet access from sensitive / regulated data enclaves (secure zones)?",6,Protect,,,X,"There is no evidence of a capability to prohibit, or strictly-control, Internet access from sensitive / regulated data enclaves (secure zones).","SP-CMM1 is N/A, since a structured process is required to prohibit, or strictly-control, Internet access from sensitive / regulated data enclaves (secure zones).","SP-CMM2 is N/A, since a well-defined process is required to prohibit, or strictly-control, Internet access from sensitive / regulated data enclaves (secure zones).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies prohibit the direct connection of a sensitive/regulated system to an external network without the use of an organization-defined boundary protection device. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit, or strictly-control, Internet access from sensitive / regulated data enclaves (secure zones).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit, or strictly-control, Internet access from sensitive / regulated data enclaves (secure zones).",,,,,,,,,,,,,,,,,,,,,,,,,,,,"TS-2.4 TS-2.8",,,,,,,,,,,SC-7(28),,,,,SC-7(28),,SC-7(28),SC-7(28),SC-7(28),,,,,,,,,,,,,,,,,,,,,,,,,,,,J.7.2,,,,,,,,5.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-4-1-3 2-4-1-6",TPC-41,,,"2-3-1-13 2-4-1-7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SC-7(28) Network Security,Remote Session Termination,NET-07,Mechanisms exist to terminate remote sessions at the end of the session or after an organization-defined time period of inactivity. ,,,Does the organization terminate remote sessions at the end of the session or after an organization-defined time period of inactivity? ,8,Protect,,,X,There is no evidence of a capability to terminate remote sessions at the end of the session or after an organization-defined time period of inactivity. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access. • Administrative processes and technologies terminate remote sessions at the end of the session or after an organization-defined time period of inactivity. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access. • Administrative processes and technologies terminate remote sessions at the end of the session or after an organization-defined time period of inactivity. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,CR 2.6 (6.8.1),,,,,,,,,,,,,"T1071, T1071.001, T1071.002, T1071.003, T1071.004",,,,,,,,SC-10,,SC-10,SC-10,SC-10,,,SC-10,SC-10,,,,SC-10,SC-10,,,,,,,,3.13.9,3.13.9,"3.13.9[a] 3.13.9[b] 3.13.9[c]","A.03.01.01.ODP[01] A.03.13.09",,,,,,8.1.8,8.2.8,,8.2.8,,,8.2.8,,8.2.8,8.2.8,,U.1.10,,,8.8,,,,,,,,SC.L2-3.13.9,SC.L2-3.13.9,,SC.L2-3.13.9,SC.L2-3.13.9,SC-10,,,,,,,,SC-10 ,,SC-10 ,SC-10 ,,SC-10,,SC-10,SC-10,,,,,,,,,,,SC-10,,,8-609,,,,,,,,SC-10 ,SC-10 ,,,,,,,,,,,,,,,,,,,,SC-10,,,,,,,,,,,,,,,,,,,,,,,"4.16 9.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Network Intrusion Detection / Prevention Systems (NIDS / NIPS),NET-08,Mechanisms exist to employ Network Intrusion Detection / Prevention Systems (NIDS/NIPS) to detect and/or prevent intrusions into the network. ,,,Does the organization employ Network Intrusion Detection / Prevention Systems (NIDS/NIPS) to detect and/or prevent intrusions into the network? ,9,Protect,,X,X,There is no evidence of a capability to employ Network Intrusion Detection / Prevention Systems (NIDS/NIPS) to detect and/ or prevent intrusions into the network. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ Network Intrusion Detection / Prevention Systems (NIDS/NIPS) to detect and/ or prevent intrusions into the network. ",CC6.8,,,"9.6 13.3 13.8",,"9.6 13.3","9.6 13.3 13.8",,,,CLS-14,,,,,,,,,8.21,,,,,,,,TS-2.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.14.6,"3.13.1.a 3.14.6.c",,"A.03.14.06.c[01] A.03.14.06.c[02]",,,,,,11.4,"1.4.3 11.5 11.5.1 11.5.1.1",,"1.4.3 11.5.1",,1.4.3,,,"1.4.3 11.5.1","1.4.3 11.5.1 11.5.1.1",,N.6,,,,,,,,,5.10.1.3,,SI.L2-3.14.6,,,SI.L2-3.14.6,SI.L2-3.14.6,,,,,,,,,,,,,,,,,,,,,,,,,,,1.L.A,,,,,,6.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7.4 7.6 12.18 23.6",,,,,,,,,,,,,TPC-77,,2-5-3-6,,,,,,7.6.1 [OP.MON.1],,,,,,,,,,,,,,,"1028 1030 1627 1628",,,,,,,,,,,,,,,,,,,"11.2.3 11.2.4",,,,,,,,"4.3 4.4",,,,,,,,,,,,x,,,,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,DMZ Networks,NET-08.1,Mechanisms exist to monitor De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks.,"- Architectural review board - System Security Plan (SSP)",,Does the organization monitor De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks?,8,Protect,,X,X,There is no evidence of a capability to monitor De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks.,"SP-CMM1 is N/A, since a structured process is required to monitor De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes require De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes require De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor De-Militarized Zone (DMZ) network segments to separate untrusted networks from trusted networks.",CC6.6,,,,,,,,,,,,,,,,,,13.1.3,8.20,13.1.3,,,,,,,"TS-1.9 TS-1.15 TS-2.0",,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.13.1.b,,,,,,,,,"1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.2.10 1.3 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5 11.4.6 12.5.2 A1.1.4 A3.2.1 A3.2.4",,"1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5",,"1.2.3 1.2.5 1.2.6 1.3.1 1.3.2 1.3.3 11.4.5","1.3.1 1.3.2 1.3.3 11.4.5","1.3.1 1.3.2 1.3.3","1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5 12.5.2","1.2.1 1.2.3 1.2.4 1.2.5 1.2.6 1.2.7 1.2.8 1.3.1 1.3.2 1.3.3 1.4.1 1.4.2 11.4.5 11.4.6 12.5.2",,N.7.3,1.1,,,,,,,,,,,,SC.L1-b.1.xi,,,,,,,52.204-21(b)(1)(xi),,,,,,,,,,,,,,,,,,,,,"6.M.A 6.M.B","6.M.A 6.M.B",,,,,,6.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-41,,,,,,,,,,,,,,,,,,,,,,,0637,,,,,,,,,,,13.1.3,,,"19.1.14.C.01 19.1.14.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Wireless Intrusion Detection / Prevention Systems (WIDS / WIPS),NET-08.2,Mechanisms exist to monitor wireless network segments to implement Wireless Intrusion Detection / Prevention Systems (WIDS/WIPS) technologies.,,,Does the organization monitor wireless network segments to implement Wireless Intrusion Detection / Prevention Systems (WIDS/WIPS) technologies?,8,Protect,,X,X,There is no evidence of a capability to monitor wireless network segments to implement Wireless Intrusion Detection / Prevention Systems (WIDS/WIPS) technologies.,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor wireless network segments to implement Wireless Intrusion Detection / Prevention Systems (WIDS/WIPS) technologies.",,,,,,,,,,,"MON-08 MON-10",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.4.3 11.2",,1.4.3,,1.4.3,,,1.4.3,1.4.3,,N.6,,,,,,,,,5.10.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.L.A,,,,,,6.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.24 12.18 23.6",,,,,,,,,,,,,TPC-77,,,,,,,,7.6.1 [OP.MON.1],,,,,,,,,,,,,,,,,,,,,,,,,,,,,"21.4.12.C.01 21.4.12.C.02 21.4.12.C.03",,,,,,,,,,,,,"4.3 4.4",,,,,,,,,,,,x,,,,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Session Integrity ,NET-09,Mechanisms exist to protect the authenticity and integrity of communications sessions. ,- PKI for non-repudiation,,Does the organization protect the authenticity and integrity of communications sessions? ,8,Protect,,,X,There is no evidence of a capability to protect the authenticity and integrity of communications sessions. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect the authenticity and integrity of communications sessions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect the authenticity and integrity of communications sessions. ",,,,,,,,,,,,,,"CR 3.8 (7.10.1(a)) CR 3.8 (7.10.1(b)) CR 3.8 (7.10.1(c))",,,,,,,,,,,,,"T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1185, T1535, T1550.004, T1557, T1557.001, T1557.002, T1562.006, T1562.009, T1563.001, T1573, T1573.001, T1573.002",,,,,,,,SC-23,,SC-23,SC-23,SC-23,,,SC-23,SC-23,,,,SC-23,SC-23,,,,,,,,3.13.15,3.13.15,3.13.15,A.03.13.15,,,,,,,,,,,,,,,,,M.1.46,,,,,,,,,,,SC.L2-3.13.15,SC.L2-3.13.15,,SC.L2-3.13.15,SC.L2-3.13.15,SC-23,,,,,,,,SC-23 ,,SC-23 ,SC-23 ,,SC-23,,SC-23,SC-23,,,,,,,,,,,SC-23,,,8-609,,,,,,,,,SC-23 ,,,,,,,,,,,,,,,,,,,,SC-23,,,,,,,,,,,,,,,,,,,PSS-06,,,,17.25,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Invalidate Session Identifiers at Logout,NET-09.1,Automated mechanisms exist to invalidate session identifiers upon user logout or other session termination. ,,,Does the organization use automated mechanisms to invalidate session identifiers upon user logout or other session termination? ,5,Protect,,,X,There is no evidence of a capability to invalidate session identifiers up on user logout or other session termination. ,"SP-CMM1 is N/A, since a structured process is required to invalidate session identifiers up on user logout or other session termination. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to invalidate session identifiers up on user logout or other session termination. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to invalidate session identifiers up on user logout or other session termination. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-23(1),,,,SC-23(1),,,,,SC-23(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.46,,,,,,,,,,,,,,,,,,,,,,,,SC-23(1),,,SC-23(1),,,,,,,,,,,,,,,,SC-23(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-06,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Unique System-Generated Session Identifiers,NET-09.2,Automated mechanisms exist to generate and recognize unique session identifiers for each session.,,,Does the organization use automated mechanisms to generate and recognize unique session identifiers for each session?,3,Protect,,,X,There is no evidence of a capability to generate and recognize unique session identifiers for each session.,"SP-CMM1 is N/A, since a structured process is required to generate and recognize unique session identifiers for each session.","SP-CMM2 is N/A, since a well-defined process is required to generate and recognize unique session identifiers for each session.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to generate and recognize unique session identifiers for each session.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate and recognize unique session identifiers for each session.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-23(3),,,,SC-23(3),,,,,SC-23(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-23(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-IR-1 R-IR-2 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,,,,,,,,,,,,R-IR-1,R-IR-2,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Domain Name Service (DNS) Resolution ,NET-10,"Mechanisms exist to ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.",,,"Does the organization ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution?",10,Protect,,X,X,"There is no evidence of a capability to ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.",,,,4.9,,4.9,4.9,,,,,,,,,,,,,,,,,,,,"T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1553.004, T1566, T1566.001, T1566.002, T1568, T1568.002, T1598, T1598.002, T1598.003",,,,,,,,"SC-20 SC-20(2)",SC-20,SC-20,SC-20,"SC-20 SC-20(2)",,SC-20,SC-20,SC-20,SC-20(2),,SC-20,SC-20,SC-20,,,,,,,,NFO - SC-20,,,,,,,,,,,,,,,,,,,,N.7,,,,,,,KIM:SG5.SP3,,,,,,,,,SC-20,,,,,,,,SC-20 ,SC-20 ,SC-20 ,SC-20 ,SC-20 ,SC-20,SC-20,SC-20,SC-20,SC-20,,,,,,,,,6.L.B,"SC-20 SC-20(2",,,,,,,,,,SC-20 ,SC-20 ,SC-20 ,,,,,,,,,,,,,,,,,,SC-20,SC-20,SC-20,,,,,,,,,,,,,,,,,,,,,,,9.6,,,,,,,,,,,,,,,"2-4-3-5 2-5-3-7",,,,,,,,,,,,,,,,,,,,,"0574 1183 1151 0861 1026 1027 1540 1799 1782",,,,,,,,,,,,,,"15.2.20.C.01 15.2.20.C.02 15.2.20.C.03 15.2.20.C.04 15.2.20.C.05",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Architecture & Provisioning for Name / Address Resolution Service,NET-10.1,Mechanisms exist to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation. ,,,Does the organization ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation? ,9,Protect,,,X,There is no evidence of a capability to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation. ,"SP-CMM1 is N/A, since a structured process is required to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure Domain Name Service (DNS) resolution is designed, implemented and managed to protect the security of name / address resolution.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure systems that collectively provide Domain Name Service (DNS) resolution service are fault-tolerant and implement internal/external role separation. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1568, T1568.002",,,,,,,,SC-22,SC-22,SC-22,SC-22,SC-22,,SC-22,SC-22,SC-22,,,SC-22,SC-22,SC-22,,,,,,,,NFO - SC-22,,,,,,,,,,,,,,,,,,,,N.7,,,,,,,,,,,,,,,,SC-22,,,,,,,,SC-22 ,SC-22 ,SC-22 ,SC-22 ,SC-22 ,SC-22,SC-22,SC-22,SC-22,SC-22,,,,,,,,,6.L.B,SC-22,,,,,,,,,,SC-22 ,SC-22 ,SC-22 ,,,,,,,,,,,,,,,,,,SC-22,SC-22,SC-22,,,,,,,,,,,,,,,,,,,,,,,9.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,15.2.22.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Secure Name / Address Resolution Service (Recursive or Caching Resolver),NET-10.2,Mechanisms exist to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems. ,,,Does the organization perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems? ,9,Protect,,,X,There is no evidence of a capability to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems. ,"SP-CMM1 is N/A, since a structured process is required to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure systems that collectively provide Domain Name Service (DNS) resolution service for are fault-tolerant and implement internal/external role separation. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes ensure systems that collectively provide Domain Name Service (DNS) resolution service for are fault-tolerant and implement internal/external role separation. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform data origin authentication and data integrity verification on the Domain Name Service (DNS) resolution responses received from authoritative sources when requested by client systems. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1071, T1071.001, T1071.002, T1071.003, T1071.004, T1568, T1568.002",,,,,,,,SC-21,SC-21,SC-21,SC-21,SC-21,,SC-21,SC-21,SC-21,,,SC-21,SC-21,SC-21,,,,,,,,NFO - SC-21,,,,,,,,,,,,,,,,,,,,"P.2.3.7 ",,,,,,,KIM:SG5.SP3,,,,,,,,,SC-21,,,,,,,,SC-21 ,SC-21 ,SC-21 ,SC-21 ,SC-21 ,SC-21,SC-21,SC-21,SC-21,SC-21,,,,,,,,,6.L.B,SC-21,,,,,,,,,,SC-21 ,SC-21 ,SC-21 ,,,,,,,,,,,,,,,,,,SC-21,SC-21,SC-21,,,,,,,,,,,,,,,,,,,,,,,9.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Sender Policy Framework (SPF),NET-10.3,Mechanisms exist to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/or hostnames that are authorized to send email from the specified domain.,,,Does the organization validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/or hostnames that are authorized to send email from the specified domain?,8,Protect,,X,X,There is no evidence of a capability to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.,"SP-CMM1 is N/A, since a structured process is required to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate the legitimacy of email communications through configuring a Domain Naming Service (DNS) Sender Policy Framework (SPF) record to specify the IP addresses and/ or hostnames that are authorized to send email from the specified domain.",,,,9.5,,9.5,9.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"TPC-13 TPC-14 TPC-15",,,,,,,,,,,,,,,,,,,,,,,"0574 1183 1151 1799",,,,,,,,,,,,,,"15.2.20.C.01 15.2.20.C.02 15.2.20.C.03 15.2.20.C.04 15.2.20.C.05",,,,,,,,,,,,,,,,,,,,,,,,,,Lockton,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Domain Registrar Security,NET-10.4,"Mechanisms exist to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.",,,"Does the organization lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details?",9,Protect,X,X,X,"There is no evidence of a capability to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.","SP-CMM1 is N/A, since a structured process is required to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to lock the domain name registrar to prevent a denial of service caused by unauthorized deletion, transfer or other unauthorized modification of a domain’s registration details.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.3.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1432,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Out-of-Band Channels ,NET-11,Mechanisms exist to utilize out-of-band channels for the electronic transmission of information and/or the physical shipment of system components or devices to authorized individuals. ,- Signature delivery (courier service),,Does the organization utilize out-of-band channels for the electronic transmission of information and/or the physical shipment of system components or devices to authorized individuals? ,9,Protect,,X,X,There is no evidence of a capability to utilize out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes use out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes use out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize out-of-band channels for the electronic transmission of information and/ or the physical shipment of system components or devices to authorized individuals. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1071, T1071.001, T1071.002, T1071.003, T1071.004",,,,,,,,"SC-37 SC-37(1)",,,,"SC-37 SC-37(1)",,,,,"SC-37 SC-37(1)",,,,,,SC-37(1),,,,SC-37(1),SC-37(1),,,,,,,,,,,,,,,,,,,,,D.3.4,,,,,,,"COMM:SG2.SP1 EC:SG3.SP2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-2 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,,R-BC-2,,,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Safeguarding Data Over Open Networks ,NET-12,"Cryptographic mechanisms exist to implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks. ",,,"Are cryptographic mechanisms utilized to implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks? ",8,Protect,X,X,X,"There is no evidence of a capability to Cryptographic implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks. ","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic implement strong cryptography and security protocols to safeguard sensitive/regulated data during transmission over open, public networks. ",CC6.6,CC6.6-POF2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,"AC-2 AC-3 SI-3 SI-4 SI-5","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,,"AC-2 AC-3 SI-3 SI-4 SI-5","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7",,,,,,,,,,"4.1 4.1.1","4.1 4.2.1",,4.2.1,,,4.2.1,,4.2.1,4.2.1,,D.5.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,,,,,,,,5.8,,,,,,,,,,,,,,,,,,,,,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5",,,,,,,,,,,,,,,,,,,,,,,,,"8.4 8.6 9.20 13.6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Wireless Link Protection,NET-12.1,"Mechanisms exist to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.",,,"Does the organization protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered?",8,Protect,,,X,"There is no evidence of a capability to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect external and internal wireless links from signal parameter attacks through monitoring for unauthorized wireless connections, including scanning for unauthorized wireless access points and taking appropriate action, if an unauthorized connection is discovered.",CC6.6,,,,,,,,,,"SWS-05 SWS-07 SWS-08",,,NDR 2.13 (15.3.1),,,,,,,,,,,,,,,,,,,,,SC-40,,,,SC-40,,,,,SC-40,,,,,,,,,,,,,,,,,,,,,"11.1 11.1.1 11.1.2","1.2.3 1.3.3 2.3 2.3.1 2.3.2 4.2.1.2 11.2 11.2.1 11.2.2 12.10.1 12.10.5",12.10.1,"1.2.3 1.3.3 12.10.1",12.10.1,"1.2.3 1.3.3 2.3.1 2.3.2 12.10.1","1.3.3 2.3.1 2.3.2 4.2.1.2 11.2.1 11.2.2 12.10.1","1.3.3 2.3.1 2.3.2 4.2.1.2 12.10.1","1.2.3 1.3.3 2.3.1 2.3.2 4.2.1.2 11.2.1 11.2.2 12.10.1 12.10.5","1.2.3 1.3.3 2.3.1 2.3.2 4.2.1.2 11.2.1 11.2.2 12.10.1 12.10.5",12.10.1,N.8.5,,,,,,,"EC:SG2.SP2 TM:SG2.SP2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,End-User Messaging Technologies,NET-12.2,Mechanisms exist to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies. ,"- Acceptable Use Policy (AUP) - Data Loss Prevention (DLP)",,Does the organization prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies? ,9,Protect,,X,X,There is no evidence of a capability to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies. ",CC6.71,CC6.7-POF1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.2,4.2.2,,4.2.2,,,4.2.2,,4.2.2,4.2.2,,D.10.8,,,,,,,,8.3,,,,,,,,"SC-ACA-1 SC-ACA-2",,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.2 3.3.3 3.3.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,,,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Electronic Messaging,NET-13,"Mechanisms exist to protect the confidentiality, integrity and availability of electronic messaging communications.",,,"Does the organization protect the confidentiality, integrity and availability of electronic messaging communications?",10,Protect,,X,X,"There is no evidence of a capability to protect the confidentiality, integrity and availability of electronic messaging communications.","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect information involved in electronic messaging communications.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to protect information involved in electronic messaging communications. • Technologies are configured to prohibit the transmission of unprotected sensitive/regulated data by end-user messaging technologies. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect the confidentiality, integrity and availability of electronic messaging communications.","CC6.6 CC6.7",CC6.6-POF2,,,,,,,,,,,,NDR 5.3 (15.13.1),,,,,13.2.3 ,5.14,13.2.3 ,,6.10.2.3,,,,,,,,,,,,"SC-8(3) SC-19",,SC-19,SC-19,SC-8(3),,,,,SC-8(3),,,,,,,,,,,,3.13.14,,"3.13.14[a] 3.13.14[b]",,,,,,,,,,,,,,,,,,D.5.5,,,,,,,,8.3,,,SC.L2-3.13.14,SC.L2-3.13.14,,SC.L2-3.13.14,SC.L2-3.13.14,"SC-19 SC-ACA-1 SC-ACA-2",,,,,,,,SC-19 ,,SC-19 ,SC-19 ,,,,,,,,,,,,,,,,"3.3.2 3.3.3 3.3.4",,,8-700,,,,,,,SC-19 ,SC-19 ,SC-19 ,,,,,,,,,,,,,,,,,,,,SC-19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.8.1 [MP.S.1],,,,,,,,,,,,,,,"0264 0267 0270 0271 0272 1089 0565 1023 0269 0569 0571 0570 0567 0572 1589 0574 1183 1151 0861 1026 1027 1540 1024 0490 0494 0496 1233 0498 0998 0999 1000",,,,,,,,,,,13.2.3,,,"15.1.7.C.01 15.1.8.C.01 15.1.8.C.02 15.1.9.C.01 15.1.10.C.01 15.1.10.C.02 15.1.10.C.03 15.1.11.C.01 15.1.11.C.02 15.1.11.C.03 15.1.12.C.01 15.1.13.C.01 15.1.14.C.01 15.1.15.C.01 15.1.16.C.01 15.1.17.C.01 15.1.18.C.01 15.1.19.C.01 15.1.19.C.02 15.1.20.C.01 15.2.25.C.01 15.2.25.C.02 15.2.26.C.01 15.2.27.C.01 15.2.28.C.01 15.2.29.C.01 15.2.30.C.01 15.2.30.C.02 15.2.30.C.03 15.2.31.C.01 15.2.31.C.02 15.2.32.C.01 15.2.32.C.02 15.2.32.C.03 15.2.33.C.01 15.2.33.C.02 15.2.33.C.03 15.2.33.C.04 16.7.33.C.01 17.6.6.C.01 17.6.7.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,,,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Remote Access ,NET-14,"Mechanisms exist to define, control and review organization-approved, secure remote access methods.",,E-NET-03,"Does the organization define, control and review organization-approved, secure remote access methods?",10,Protect,,X,X,"There is no evidence of a capability to define, control and review organization-approved, secure remote access methods.","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods. • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define, control and review organization-approved, secure remote access methods.",CC6.6,CC6.6-POF3,,12.7,,12.7,12.7,,,HRS-04,,,,,,,,,6.2.2 ,6.7,6.2.2 ,,6.3.2.2,,,,"T1020.001, T1021, T1021.001, T1021.002, T1021.003, T1021.004, T1021.005, T1021.006, T1037, T1037.001, T1040, T1047, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1070, T1070.001, T1070.002, T1114, T1114.001, T1114.002, T1114.003, T1119, T1133, T1137, T1137.002, T1213, T1213.001, T1213.002, T1219, T1505.004, T1530, T1537, T1543, T1547.003, T1547.004, T1547.009, T1547.011, T1547.012, T1547.013, T1550.001, T1552, T1552.002, T1552.004, T1552.007, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1563, T1563.001, T1563.002, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002, T1609, T1610, T1612, T1613, T1619","OR-3.3 TS-2.1",,,PR.AC-P3,,,,"AC-17 AC-17(6)",AC-17,AC-17,AC-17,"AC-17 AC-17(6)",,AC-17,AC-17,AC-17,AC-17(6),,AC-17,AC-17,AC-17,,"AC-17 AC-17(6)",AC-17,AC-17,,"AC-17 AC-17(6)","AC-17 AC-17(6)",3.1.12 ,"3.1.12.a 3.1.12.b 3.1.12.c 3.1.12.d",,"A.03.01.01.ODP[01] A.03.01.12.a[01] A.03.01.12.a[02] A.03.01.12.a[04] A.03.01.12.b",,,PR.AC-3,,,"12.3.8 12.3.9","3.4.2 7.2.5 8.2.3 8.2.7 12.2.1 12.8.1",12.8.1,"7.2.5 8.2.7 12.8.1",12.8.1,"8.2.7 12.8.1","7.2.5 8.2.7 12.2.1 12.8.1",12.8.1,"3.4.2 7.2.5 8.2.7 12.2.1 12.8.1","3.4.2 7.2.5 8.2.3 8.2.7 12.2.1 12.8.1",12.8.1,N.4,,,9.1,,,,TM:SG4.SP1,,5.5.6,,AC.L2-3.1.12,,"AC.L1-b.1.i AC.L1-b.1.ii",AC.L2-3.1.12,AC.L2-3.1.12,AC-17,,,,"52.204-21(b)(1)(i) 52.204-21(b)(1)(ii)",,,,AC-17 ,AC-17 ,AC-17 ,AC-17 ,AC-17 ,AC-17,AC-17,AC-17,AC-17,AC-17,,"D3.PC.Am.B.15 D3.PC.De.E.7 D3.PC.Im.Int.2",,,,,"2.S.A 6.S.A","1.M.B 3.M.D 6.M.D 9.M.C","1.M.B 3.M.D 6.M.D 9.M.C 2.L.B",AC-17,,"CIP-005-5 R2",,,,,,,5.3,AC-17 ,AC-17 ,AC-17 ,III.C,,,,,,,,,,,,,,,,,AC-17,AC-17,AC-17,,,,,,,,,,,,,,,,,,,,,,,4.17,,,,,,,,,,,,"2-2-1-1 2-2-1-2",TPC-35,,,2-2-1-7,,,,,7.2.7 [OP.ACC.7],,,,,,,,,,,,,,,"0487 0488 0489",,,,,,,,,,,6.2.2,,,"16.5.10.C.01 16.5.10.C.02 16.5.11.C.01 16.5.11.C.02 16.5.12.C.01 17.5.6.C.01 17.5.7.C.01 17.5.7.C.02 17.5.8.C.01 17.5.8.C.02 17.5.8.C.03 17.5.9.C.01 17.5.10.C.01",,,,,"9.3.1 9.3.2",,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 Lockton",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Automated Monitoring & Control ,NET-14.1,Automated mechanisms exist to monitor and control remote access sessions. ,,,Does the organization use automated mechanisms to monitor and control remote access sessions? ,1,Detect,,,X,There is no evidence of a capability to monitor and control remote access sessions. ,"SP-CMM1 is N/A, since a structured process is required to monitor and control remote access sessions. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to monitor and control remote access sessions. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,12.7,,12.7,12.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-17(1),,AC-17(1),AC-17(1),AC-17(1),,,AC-17(1),AC-17(1),,,,AC-17(1),AC-17(1),,,,,,,,3.1.12,3.1.12.b,"3.1.12[a] 3.1.12[b] 3.1.12[c] 3.1.12[d]",,,,,,,,,,,,,,,,,,N.4.5,,,,,,,,,,,AC.L2-3.1.12,AC.L2-3.1.12,,AC.L2-3.1.12,AC.L2-3.1.12,AC-17(1),,,,,,,,AC-17(1) ,,AC-17(1) ,AC-17(1) ,,AC-17(1),,AC-17(1),AC-17(1),,,,,,,,,,,AC-17(1),,,,,,,,,,,AC-17(1) ,AC-17(1) ,,,,,,,,,,,,,,,,,,,,AC-17(1),,,,,,,,,,,,,,,,,,,,,,,4.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,Protection of Confidentiality / Integrity Using Encryption,NET-14.2,"Cryptographic mechanisms exist to protect the confidentiality and integrity of remote access sessions (e.g., VPN). ",,,"Are cryptographic mechanisms utilized to protect the confidentiality and integrity of remote access sessions (e?g?, VPN)? ",9,Protect,,,X,"There is no evidence of a capability to Cryptographic protect the confidentiality and integrity of remote access sessions (e.g., VPN). ","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to use cryptographic mechanisms to protect the confidentiality and integrity of remote access sessions. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to Cryptographic protect the confidentiality and integrity of remote access sessions (e.g., VPN). ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Cryptographic protect the confidentiality and integrity of remote access sessions (e.g., VPN). ",,,,12.7,,12.7,12.7,,,,,,,,,,,,,,,,,,,,,,,,PR.DS-P6,,,,AC-17(2),,AC-17(2),AC-17(2),AC-17(2),,,AC-17(2),AC-17(2),,,,AC-17(2),AC-17(2),,,,,,,,3.1.13,3.1.12.a,"3.1.13[a] 3.1.13[b]",,,,,,,,,,,,,,,,,,N.4.1,,,9.1,,,,,,5.10.1.2,,AC.L2-3.1.13,AC.L2-3.1.13,,AC.L2-3.1.13,AC.L2-3.1.13,AC-17(2),,,,,,,,AC-17(2) ,,AC-17(2) ,AC-17(2) ,,AC-17(2),,AC-17(2),AC-17(2),,,,,,,,,,,AC-17(2),,,,,,,,,,,AC-17(2) ,AC-17(2) ,,,,,,,,,,,,,,,,,,,,AC-17(2),,,,,,,,,,,,,,,,,,,,,,,9.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Managed Access Control Points,NET-14.3,"Mechanisms exist to route all remote accesses through managed network access control points (e.g., VPN concentrator).",,,"Does the organization route all remote accesses through managed network access control points (e?g?, VPN concentrator)?",9,Protect,,X,X,"There is no evidence of a capability to route all remote accesses through managed network access control points (e.g., VPN concentrator).","SP-CMM1 is N/A, since a structured process is required to route all remote accesses through managed network access control points (e.g., VPN concentrator).","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to route all remote accesses through managed network access control points (e.g., VPN concentrator).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to route all remote accesses through managed network access control points (e.g., VPN concentrator).",,CC6.1-POF5,,12.7,,12.7,12.7,,,,,,,,,,,,,,,,,,,,,TS-2.0,,,,,,,AC-17(3),,AC-17(3),AC-17(3),AC-17(3),,,AC-17(3),AC-17(3),,,,AC-17(3),AC-17(3),,,,,,,,3.1.14,"3.1.12.b 3.1.12.c","3.1.14[a] 3.1.14[b]",A.03.01.12.c,,,,,,,,,,,,,,,,,N.2.4.3,,,,,,,,,,,AC.L2-3.1.14,AC.L2-3.1.14,,AC.L2-3.1.14,AC.L2-3.1.14,AC-17(3),,,,,,,,AC-17(3) ,,AC-17(3) ,AC-17(3) ,,AC-17(3),,AC-17(3),AC-17(3),,,,,,,,,,,AC-17(3),,,,,,,,,,,,AC-17(3) ,,,,,,,,,,,,,,,,,,,,AC-17(3),,,,,,,,,,,,,,,,,,,,,,,4.19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Remote Privileged Commands & Sensitive Data Access,NET-14.4,Mechanisms exist to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs. ,,,Does the organization restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs? ,8,Protect,,X,X,There is no evidence of a capability to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the execution of privileged commands and access to security-relevant information via remote access only for compelling operational needs. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-17(4),,AC-17(4),AC-17(4),AC-17(4),,,AC-17(4),AC-17(4),,,,AC-17(4),AC-17(4),,,,,,,,3.1.15,3.1.12.d,"3.1.15[a] 3.1.15[b] 3.1.15[c] 3.1.15[d]","A.03.01.12.d[1] A.03.01.12.d[2]",,,,,,,,,,,,,,,,,H.12,,,,,,,,,,,AC.L2-3.1.15,AC.L2-3.1.15,,AC.L2-3.1.15,AC.L2-3.1.15,AC-17(4),,,,,,,,AC-17(4) ,,AC-17(4) ,AC-17(4) ,,AC-17(4),,AC-17(4),AC-17(4),,,,,,,,,,,AC-17(4),,,,,,,,,,,,AC-17(4) ,,,,,,,,,,,,,,,,,,,,AC-17(4),,,,,,,,,,,,,,,,,,,,,,,"4.17 4.20",,,,,,,,,,,,,TPC-35,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.5.11.C.01 16.5.11.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Work From Anywhere (WFA) - Telecommuting Security,NET-14.5,Mechanisms exist to define secure telecommuting practices and govern remote access to systems and data for remote workers. ,,E-NET-03,Does the organization define secure telecommuting practices and govern remote access to systems and data for remote workers? ,10,Protect,X,X,X,There is no evidence of a capability to define secure telecommuting practices and govern remote access to systems and data for remote workers. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes define, control and review remote access methods.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define secure telecommuting practices and govern remote access to systems and data for remote workers. ",,,,,,,,,,HRS-04,,,,,,,,,"6.2.2 11.2.6","6.7 7.9","6.2.2 11.2.6",,6.3.2.2,,,,,"OR-1.2 OR-3.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.12 3.10.6","3.1.12.a 3.1.12.c 3.10.6.a 3.10.6.b",,,,,PR.AC-2,,,,,,,,,,,,,,L.10.3.1,,2.1.4,,,,,,,,,"AC.L2-3.1.12 PE.L2-3.10.6",,,"AC.L2-3.1.12 PE.L2-3.10.6","AC.L2-3.1.12 PE.L2-3.10.6",,,,,,,,,,,,,,,,,,,,,,,,,10.S.A,,,"2.B.7 2.B.7.1 2.B.7.2 2.B.7.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-2-1-1 2-2-1-2",,,,,,,,,"7.2.7 [OP.ACC.7] 9",,,,,,,,,,,,,,,,,,,,,,,,,,"6.2.2 11.2.6",,,"21.2.4.C.01 21.2.4.C.02 21.2.5.C.01 21.2.6.C.01 21.2.7.C.01 21.2.7.C.02 21.3.5.C.01 21.3.6.C.01",,,,,"9.3.1 9.3.2",,,,,,,,,,,,,,,,,,,,x,Lockton,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Third-Party Remote Access Governance,NET-14.6,"Mechanisms exist to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.",,,"Does the organization proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access?",8,Protect,,X,X,"There is no evidence of a capability to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.","SP-CMM1 is N/A, since a structured process is required to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to proactively control and monitor third-party accounts used to access, support, or maintain system components via remote access.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.1.5,8.2.7,,8.2.7,,8.2.7,8.2.7,,8.2.7,8.2.7,,N.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-35,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Endpoint Security Validation ,NET-14.7,Mechanisms exist to validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information? ,6,Protect,,X,X,There is no evidence of a capability to validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information. ,"SP-CMM1 is N/A, since a structured process is required to validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information. ","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate software versions/patch levels and control remote devices connecting to corporate networks or storing and accessing organization information. ",,,,13.5,,13.5,13.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-9(1),,,,,CA-9(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-9(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Expeditious Disconnect / Disable Capability ,NET-14.8,Mechanisms exist to provide the capability to expeditiously disconnect or disable a user's remote access session.,,,Does the organization provide the capability to expeditiously disconnect or disable a user's remote access session?,8,Protect,,X,X,There is no evidence of a capability to provide the capability to expeditiously disconnect or disable a user's remote access session.,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies provide the capability to expeditiously disconnect or disable a user's remote access session.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies provide the capability to expeditiously disconnect or disable a user's remote access session.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-17(9),,,,AC-17(9),,,,,AC-17(9),,AC-17(9),AC-17(9),AC-17(9),,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.21,,,,,,,,,,,,,,,,,,,,,,,,AC-17(9),,AC-17(9),AC-17(9),,,,,,,,,,,,,,,,AC-17(9),,,,,,,,,,,,AC-17(9),,,,,,,,,,,,,,,,,,,,AC-17(9),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1591,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for AC-17(9) Network Security,Wireless Networking ,NET-15,Mechanisms exist to control authorized wireless usage and monitor for unauthorized wireless access.,,,Does the organization control authorized wireless usage and monitor for unauthorized wireless access?,9,Protect,X,X,X,There is no evidence of a capability to control authorized wireless usage and monitor for unauthorized wireless access.,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies control authorized wireless usage and monitor for unauthorized wireless access.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies control authorized wireless usage and monitor for unauthorized wireless access. • Centrally-managed authentication and cryptographic technologies are configured to protect wireless access.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control authorized wireless usage and monitor for unauthorized wireless access.",,,,,,,,,,,SWS-05,,,NDR 1.6 (15.2.1),,,,,13.1.2 ,8.21,13.1.2 ,,,,,,"T1011, T1011.001, T1020.001, T1040, T1070, T1070.001, T1070.002, T1119, T1530, T1552, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1565, T1565.001, T1565.002, T1602, T1602.001, T1602.002",TS-2.11,,,,,,,AC-18,AC-18,AC-18,AC-18,AC-18,,AC-18,AC-18,AC-18,,,AC-18,AC-18,AC-18,,AC-18,AC-18,,AC-18,AC-18,AC-18,3.1.16,"3.1.16.a 3.1.16.b","3.1.16[a] 3.1.16[b]","A.03.01.16.a[01] A.03.01.16.a[02] A.03.01.16.a[04]",,,,,,,"11.2 11.2.1 11.2.2",,,,,"11.2.1 11.2.2",,"11.2.1 11.2.2","11.2.1 11.2.2",,N.8.5,,,,,,,TM:SG4.SP1,,"5.13.1 5.13.1.1",,AC.L2-3.1.16,AC.L2-3.1.16,,AC.L2-3.1.16,AC.L2-3.1.16,AC-18,,,,,,,,AC-18 ,AC-18 ,AC-18 ,AC-18 ,AC-18 ,AC-18,AC-18,AC-18,AC-18,AC-18,,,,,,,,,,AC-18,,,8-311,,,,,,,AC-18 ,AC-18 ,AC-18 ,,,,,,,,,,,,,,,,,,AC-18,AC-18,AC-18,,,,,,,,,,,,,,,,,,,,,,,"4.24 12.12 12.14",,,,,,,,,,,,"2-3-1-5 2-4-1-4",,,,"2-4-1-4 2-4-1-5",,,,,,,,,,,,,,,,,,,,"1543 0225 0247 0248 1137 1314 0536 1315 1316 1317 1318 1319 1320 1321 1322 1324 1323 1327 1330 1454 1334 1335",,,,,,,,,,,13.1.2,,,"18.2.5.C.01 18.2.5.C.02 18.2.6.C.01 18.2.7.C.01 18.2.8.C.01 18.2.25.C.01 18.2.26.C.01 18.2.27.C.01 18.2.28.C.01 18.2.28.C.02 18.2.29.C.01 18.2.29.C.02 18.2.29.C.03 18.2.30.C.01 18.2.31.C.01 18.2.32.C.01 18.2.34.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Authentication & Encryption,NET-15.1,Mechanisms exist to protect wireless access through authentication and strong encryption. ,,,Does the organization protect wireless access through authentication and strong encryption? ,9,Protect,,,X,There is no evidence of a capability to protect wireless access through authentication and strong encryption. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Centrally-managed authentication and cryptographic technologies are configured to protect wireless access.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect wireless access through authentication and strong encryption. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect wireless access through authentication and strong encryption. ",,,,,,,,,,,,,,NDR 1.6 (15.2.3(1)),,,,,,,,,,,,,,,,,,,,,AC-18(1),,AC-18(1),AC-18(1),AC-18(1),,,AC-18(1),AC-18(1),,,,AC-18(1),AC-18(1),,,,,,,,3.1.17,"3.1.16.a 3.1.16.b","3.1.17[a] 3.1.17[b]",A.03.01.16.b,,,,,,4.1.1,"2.3.1 2.3.2 4.2.1",,4.2.1,,"2.3.1 2.3.2","2.3.1 2.3.2 4.2.1","2.3.1 2.3.2","2.3.1 2.3.2 4.2.1","2.3.1 2.3.2 4.2.1",,N.8.4,,,,,,,,,5.10.1.2,,AC.L2-3.1.17,AC.L2-3.1.17,,AC.L2-3.1.17,AC.L2-3.1.17,AC-18(1),,,,,,,,AC-18(1) ,,AC-18(1) ,AC-18(1) ,,AC-18(1),,AC-18(1),AC-18(1),,,,,,,,,,,AC-18(1),,,,,,,,,,,,AC-18(1) ,,,,,,,,,,,,,,,,,,,,AC-18(1),,,,,,,,,,,,,,,,,,,,,,,12.14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.2.10.C.01 18.2.10.C.02 18.2.11.C.01 18.2.11.C.02 18.2.11.C.03 18.2.11.C.04 18.2.11.C.05 18.2.12.C.01 18.2.12.C.02 18.2.13.C.01 18.2.14.C.01 18.2.15.C.01 18.2.16.C.01 18.2.17.C.01 18.2.18.C.01 18.2.19.C.01 18.2.20.C.01 18.2.20.C.02 18.2.20.C.03 18.2.21.C.01 18.2.22.C.01 18.2.23.C.01 18.2.23.C.02 18.2.24.C.01 18.2.25.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Disable Wireless Networking,NET-15.2,Mechanisms exist to disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users. ,,,Does the organization disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users? ,5,Protect,,,X,There is no evidence of a capability to disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies disable unnecessary wireless networking capabilities.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies disable unnecessary wireless networking capabilities.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to disable unnecessary wireless networking capabilities that are internally embedded within system components prior to issuance to end users. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-18(3),,,,AC-18(3),,,AC-18(3),AC-18(3),,,,AC-18(3),AC-18(3),,,,,,,,,3.1.16.c,,A.03.01.16.c,,,,,,,,,,,,,,,,,U.1.2,,,,,,,,,,,,,,,,,,,,,,,,AC-18(3),,,AC-18(3),,AC-18(3),,AC-18(3),AC-18(3),,,,,,,,,,,AC-18(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.24,,,,,,,,,,,,2-4-1-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"21.1.16.C.01 21.1.16.C.02",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Restrict Configuration By Users,NET-15.3,Mechanisms exist to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities. ,,,Does the organization identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities? ,8,Protect,,,X,There is no evidence of a capability to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and explicitly authorize users who are allowed to independently configure wireless networking capabilities. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-18(4),,,AC-18(4),AC-18(4),,,,AC-18(4),,,,,AC-18(4),,,,,,,,,"3.1.16.a 3.1.16.c",,,,,,,,,,,,,,,,,,,N.8.2,,,,,,,,,,,,,,,,,,,,,,,,AC-18(4),,,AC-18(4),,AC-18(4),,,AC-18(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.13,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Wireless Boundaries,NET-15.4,Mechanisms exist to confine wireless communications to organization-controlled boundaries. ,,,Does the organization confine wireless communications to organization-controlled boundaries? ,5,Protect,,X,X,There is no evidence of a capability to confine wireless communications to organization-controlled boundaries. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies confine wireless communications to organization-controlled boundaries. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies confine wireless communications to organization-controlled boundaries. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to confine wireless communications to organization-controlled boundaries. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to confine wireless communications to organization-controlled boundaries. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-18(5),,,AC-18(5),AC-18(5),,,,AC-18(5),,,,,AC-18(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,N.8.5,,,,,,,,,,,,,,,,,,,,,,,,AC-18(5),,,AC-18(5),,AC-18(5),,,AC-18(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.23,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1338 1013",,,,,,,,,,,,,,18.2.33.C.01,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,,,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Rogue Wireless Detection,NET-15.5,Mechanisms exist to test for the presence of Wireless Access Points (WAPs) and identify all authorized and unauthorized WAPs within the facility(ies). ,,E-NET-02,Does the organization test for the presence of Wireless Access Points (WAPs) and identify all authorized and unauthorized WAPs within the facility(ies)? ,8,Detect,,X,X,There is no evidence of a capability to test for the presence of Wireless Access Points (WAPs) and identify all authorized and unauthorized WAPs within the facility(ies). ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • IT/cybersecurity personnel receive feeds from Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks. ","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • A SOC, or similar function receives feeds from Wireless Intrusion Detection / Protection Systems (WIDS / WIPS) to identify rogue wireless devices and to detect attack attempts via wireless networks. ","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,"MON-10 SWS-06",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.1 11.1.1 11.1.2","11.2 11.2.1",,,,,11.2.1,,11.2.1,11.2.1,,N.8.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B2.b,,,,,,,,,,0829,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,,,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Intranets,NET-16,"Mechanisms exist to establish trust relationships with other organizations owning, operating, and/or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/or transmit organization-controlled information using the external systems.",,,"Does the organization establish trust relationships with other organizations owning, operating, and/or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/or transmit organization-controlled information using the external systems?",8,Protect,,X,X,"There is no evidence of a capability to establish trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/ or transmit organization-controlled information using the external systems.","Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies establish trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to access the intranet from external systems, as well as process, store, and/ or transmit organization-controlled information using the external systems.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Administrative processes and technologies establish trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to access the intranet from external systems, as well as process, store, and/ or transmit organization-controlled information using the external systems.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish trust relationships with other organizations owning, operating, and/ or maintaining intranet systems, allowing authorized individuals to: ▪ Access the intranet from external systems; and ▪ Process, store, and/ or transmit organization-controlled information using the external systems.",,,,,,,,,,,,,,,,,,,,,,,6.11.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,,,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Data Loss Prevention (DLP) ,NET-17,"Automated mechanisms exist to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed.",- Data Loss Prevention (DLP),,"Does the organization use automated mechanisms to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed?",8,Protect,,X,X,"There is no evidence of a capability to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed.","SP-CMM1 is N/A, since a structured process is required to implement Data Loss Prevention (DLP) to protect sensitive information as it is stored, transmitted and processed.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to implement Data Loss Prevention (DLP) techniques to protect sensitive/regulated data as it is stored, transmitted and processed. • DLP prevents unauthorized devices from connecting to endpoint devices to control the distribution of sensitive/regulated data.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to implement Data Loss Prevention (DLP) techniques to protect sensitive/regulated data as it is stored, transmitted and processed. • DLP prevents unauthorized devices from connecting to endpoint devices to control the distribution of sensitive/regulated data.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,CC6.7-POF1,,3.13,,,3.13,,,UEM-11,DAT-02,,,,,,,,,,,,6.5.3.1,,,,,TS-1.8,,,,,,,SC-7(10),,,,"SC-7(10) SI-4(18)",,,,,"SC-7(10) SI-4(18)",,,,,,,,,,,,,,,,,,,,,,A3.2.6,,,,,,,,,,D.10.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.M.E,"4.M.E 4.L.A",SI-4(18),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-6-1-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.1 4.2",3.2.5,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-GV-1 R-GV-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,,,,,,,,R-GV-1,R-GV-2,,,,,,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Network Security,DNS & Content Filtering ,NET-18,Mechanisms exist to force Internet-bound network traffic through a proxy device for URL content filtering and DNS filtering to limit a user's ability to connect to dangerous or prohibited Internet sites.,,E-NET-01,Does the organization force Internet-bound network traffic through a proxy device for URL content filtering and DNS filtering to limit a user's ability to connect to dangerous or prohibited Internet sites?,9,Protect,,X,X,There is no evidence of a capability to force Internet-bound network traffic through a proxy device for URL content filtering and DNS filtering to limit a user's ability to connect to dangerous or prohibited Internet sites.,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.","Network Security (NET) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Network Security (NET) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"9.0 9.2 9.3 13.10",9.2,"9.2 9.3","9.2 9.3 13.10",,,,,,,,,,,,,"5.14 8.23",,,,,,,,TS-2.10,,,,,,,"SC-7(8) SC-18(3)",,,SC-7(8),"SC-7(8) SC-18(3)",,,SC-7(8),SC-7(8),SC-18(3),,,SC-7(8),SC-7(8),,,,,,,,3.1.3,,,,,,,,,,,,,,,,,,,,D.10.10,1.4,,,,,,,,,,AC.L2-3.1.3,,,AC.L2-3.1.3,AC.L2-3.1.3,SC-7(8),,,,,,,,SC-7(8),,SC-7(8),SC-7(8),,SC-7(8),,SC-7(8),SC-7(8),,,,,,,,8.S.A,6.M.D,"6.M.D 6.L.B",SC-7(8),,,,,6.8,,,,,,,SC-7(8),"III.D.1.b III.D.1.c III.D.1.e III.D.2.a",,,,,,,,,,,,,,,,,,,SC-7(8),,,,,,,,,,,,,,,,,,,,,,,9.14,,,,,,,,,,,,,TPC-57,,"2-5-3-3 2-5-3-8",,,,,,,,,,,,,,,,,,,,,"1234 1502 0963 0961 0958 1171 1236 0659 1524 0649 1287",,,,,,,,,,,,,,"9.3.6.C.01 14.3.6.C.01 14.3.6.C.02 14.3.6.C.03 14.3.10.C.01 14.3.10.C.02 14.3.10.C.03 14.3.10.C.04 14.3.11.C.01 14.3.11.C.02 14.3.12.C.01 20.3.4.C.01 20.3.4.C.02 20.3.5.C.01 20.3.5.C.02 20.3.6.C.01 20.3.7.C.01 20.3.7.C.02 20.3.8.C.01 20.3.9.C.01 20.3.10.C.01 20.3.11.C.01 20.3.11.C.02 20.3.11.C.03 20.3.12.C.01 20.3.12.C.02 20.3.13.C.01 20.3.13.C.02 20.3.14.C.01 20.3.15.C.01 20.3.15.C.02 20.3.16.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-SA-1",,,,,,,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Route Traffic to Proxy Servers,NET-18.1,Mechanisms exist to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces. ,,E-NET-01,Does the organization route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces? ,9,Protect,,,X,There is no evidence of a capability to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces. ,"Network Security (NET) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure networks for test, development, staging and production environments, including the implementation of appropriate cybersecurity & data privacy controls. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network monitoring is primarily reactive in nature.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces. ",,,,13.10,,,13.10,,,,,,,,,,,,,,,,,,,,,TS-2.8,,,,,,,SC-7(8),,,SC-7(8),SC-7(8),,,SC-7(8),SC-7(8),,,,SC-7(8),SC-7(8),,,,,,,,,,,,,,,,,1.3,,,,,,,,,,,J.7.3,1.4,,,,,,,,,,,,,,,SC-7(8),,,,,,,,SC-7(8) ,,SC-7(8),SC-7(8),,SC-7(8),,SC-7(8),SC-7(8),,,,,,,,,6.M.D,"6.M.D 6.L.B",SC-7(8),,,,,6.8,,,,,,,SC-7(8),III.D.1.b,,,,,,,,,,,,,,,,,,,SC-7(8),,,,,,,,,,,,,,,,,,,,,,,9.14,,,,,,,,,,,,2-4-1-3,,,2-5-3-8,,,,,,,,,,,,,,,,,,,,,"0570 0260 1237",,,,,,,,,,,,,,"14.3.6.C.01 14.3.6.C.02 14.3.6.C.03",,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-SA-1",,,,,,,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Visibility of Encrypted Communications,NET-18.2,Mechanisms exist to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.,,,Does the organization configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms?,5,Detect,,X,X,There is no evidence of a capability to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.,"SP-CMM1 is N/A, since a structured process is required to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.","Network Security (NET) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Network security management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for network security management. • IT personnel define secure networking practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes are used to configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to force Internet-bound network traffic through a proxy device for URL content filtering to limit a user's ability to connect to prohibited content. • Content filtering restricts unauthorized content, when transferring information between different security domains.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure the proxy to make encrypted communications traffic visible to monitoring tools and mechanisms.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(10),,,,SI-4(10),,,,,SI-4(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,D.10.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-4(10),,,SI-4(10),,,,,,,,,,,SI-4(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1293 0263",,,,,,,,,,,,,,"14.3.8.C.01 14.3.9.C.01 20.3.14.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-SA-1",,,,,,,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Network Security,Route Privileged Network Access,NET-18.3,"Automated mechanisms exist to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.",,,"Does the organization use automated mechanisms to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing?",1,Detect,,,X,"There is no evidence of a capability to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.","SP-CMM1 is N/A, since a structured process is required to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.","SP-CMM2 is N/A, since a well-defined process is required to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.","Network Security (NET) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Technology Infrastructure team, or similar function, defines centrally-managed network security controls for implementation across the enterprise. • IT/cybersecurity architects work with the Technology Infrastructure team to implement a “layered defense” network architecture that provides a defense-in-depth approach for redundancy and risk reduction for network-based security controls, including wired and wireless networking. • Administrative processes and technologies configure boundary devices (e.g., firewalls, routers, etc.) to deny network traffic by default and allow network traffic by exception (e.g., deny all, permit by exception). • Technologies automate the Access Control Lists (ACLs) and similar rulesets review process to identify security issues and/ or misconfigurations. • Network segmentation exists to implement separate network addresses (e.g., different subnets) to connect systems in different security domains (e.g., sensitive/regulated data environments). • Technologies are configured to route internal communications traffic to external networks through organization-approved proxy servers at managed interfaces. • Content filtering restricts unauthorized content, when transferring information between different security domains.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to route networked, privileged accesses through a dedicated, managed interface for purposes of access control and auditing.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-7(15),,,,,SC-7(15),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-7(15),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5.2,"Principle 5.4 Principle 5.9",Principle 5.5,,,1653,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,,,,,,,,,,,,,,,,,,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Physical & Environmental Security ,Physical & Environmental Protections,PES-01,Mechanisms exist to facilitate the operation of physical and environmental protection controls. ,,E-PES-01,Does the organization facilitate the operation of physical and environmental protection controls? ,9,Protect,X,X,X,There is no evidence of a capability to facilitate the operation of physical and environmental protection controls. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • IT personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets and data.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for physical access control practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for physical access controls. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to physical access controls. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including physical access controls. • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the operation of physical and environmental protection controls. ","CC6.4 A1.2","CC6.4-POF1 CC6.4-POF2 A1.2-POF1 A1.2-POF2 A1.2-POF3 A1.2-POF4 A1.2-POF5 A1.2-POF6 A1.2-POF7 A1.2-POF8 A1.2-POF9 A1.2-POF10",,,,,,"DSS01.04 DSS01.05 DSS05.05",,DCS-03,PHY-01,SO9,"8.2.3 8.2.4",,,,,,11.1.4,"5.14 5.15 5.18 7.1 7.5",11.1.4,,"6.8.1.4 6.15.1.4",,,,,"OR-3.1 PS-1.0 PS-1.2 PS-1.5 PS-2.0","Sec 4(D)(2)(b) Sec 4(D)(2)(c)",,"PR.AC-P2 PR.PO-P4",,,,PE-1,PE-1,PE-1,PE-1,"PE-1 PE-23",,PE-1,PE-1,PE-1,PE-23,,PE-1,PE-1,PE-1,,PE-1,PE-1,,PE-1,PE-1,PE-1,"3.10.2 NFO - PE-1","3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d","3.10.2[a] 3.10.2[b] 3.10.2[c] 3.10.2[d]",,,,,"PR.AA PR.AA-06",,,"9.1 9.1.1 9.1.2",,,,9.1.1,9.1.1,9.1.1,"9.1.1 9.1.2","9.1.1 9.1.2",9.1.1,F.1,3.1,"3.1.1 8.1.2 8.1.3 8.2.6 8.2.7 8.4.2 8.4.3 8.5.2",,,,"ACCESS-3.A.MIL1 ACCESS-3.D.MIL2 ACCESS-3.E.MIL2 ACCESS-3.F.MIL2 ACCESS-3.G.MIL2 ACCESS-3.H.MIL2",AM:SG1.SP1,,"5.9 5.9.1",,PE.L2-3.10.2,PE.L2-3.10.2,,PE.L2-3.10.2,PE.L2-3.10.2,PE-1,,,,,,,,PE-1 ,PE-1 ,PE-1 ,PE-1 ,PE-1 ,PE-1,PE-1,PE-1,PE-1,PE-1,,,,,,"164.310 164.310(a) 164.310(a)(1) 164.310(a)(2)(ii)",6.S.B,4.M.C,4.M.C,"2.B.3 2.B.3.4 PE-1",,"CIP-006-6 R1 & R3",8-308,"10.6 11.1 11.2 11.3",,,,,,PE-1 ,PE-1 ,PE-1 ,,,,,,,,,,,,,,,"38-99-20(D)(2)(b) 38-99-20(D)(2)(c)",,,PE-1,PE-1,PE-1,,,§ 2447(b)(7),3.4.3(33),,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,,PS-01,,,,"9.15 12.27 18.1 18.2 18.10",,,,,,,,,,,,2-3,TPC-46,3.3.2,"2-3-1 2-3-2 2-3-4 2-14-1 2-14-2 2-14-3 2-14-4","2-13 2-13-1 2-13-1-8 2-13-1-9 2-13-2",,,Sec 19,,,,,,,B2.a,,,,,,,,,,0810,,,,,,,,,,,11.1.4,,7.1,"5.7.4.C.01 8.1.10.C.01",,,,,"8.5.1 8.5.2 8.5.5 8.5.6(a) 8.5.6(b) 8.5.6(c) 8.5.6(d) 8.5.6(e) 8.5.6(f)",,,,,,,,,3.2.10,,,,,,,,,,,x,NAIC,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Physical & Environmental Security ,Site Security Plan (SitePlan),PES-01.1,"Mechanisms exist to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.",,E-PES-04,"Does the organization document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats?",4,Identify,X,X,,"There is no evidence of a capability to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.","SP-CMM1 is N/A, since a structured process is required to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes exist to ensure Business process owners (BPOs) develop and maintain System Security Plans (SSPs) or similar documentation, to identify and maintain key architectural information on each business-critical system, application or service.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes exist to ensure Business Process Owners (BPOs) develop and maintain System Security Plans (SSPs) or similar documentation, to identify and maintain key architectural information on each business-critical system, application or service.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document a Site Security Plan (SitePlan) for each server and communications room to summarize the implemented security controls to protect physical access to technology assets, as well as applicable risks and threats.",,,,,,,,,,DCS-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.1.2,,"3.1.1 8.4.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.1.1 [MP.IF.1],,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.7.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Physical Access Authorizations ,PES-02,Physical access control mechanisms exist to maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible).,,E-PES-03,Does the organization maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible)?,7,Protect,,X,X,There is no evidence of a capability to maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible).,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • An Identity and Access Management (IAM), or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts. IAM integrates into physical access using a holistic approach to physical and logical access.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a current list of personnel with authorized access to organizational facilities (except for those areas within the facility officially designated as publicly accessible).",CC6.4,"CC6.4-POF1 CC6.4-POF2",,,,,,DSS05.05,,DCS-09,,,,,,,,,11.1.1 ,"5.15 5.18 7.1",11.1.1 ,,"6.8 6.8.1 6.8.1.1",,,,,"OR-3.1 PS-1.0 PS-1.2",,,,,,,PE-2,PE-2,PE-2,PE-2,PE-2,,PE-2,PE-2,PE-2,,,PE-2,PE-2,PE-2,,PE-2,PE-2,PE-2,,PE-2,PE-2,3.10.1,"3.10.1.a 3.10.1.b 3.10.1.c 3.10.1.d","3.10.1[a] 3.10.1[b] 3.10.1[c] 3.10.1[d]","A.03.04.05[01] A.03.10.01.a[01] A.03.10.01.a[02] A.03.10.01.a[03] A.03.10.01.b A.03.10.01.c A.03.10.01.d A.03.10.07.a.01",,,,"PR.AA-01 PR.AA-06",,9.2,"9.1 9.2 9.2.1 9.3 9.3.1",,9.2.1,,,9.2.1,9.2.1,"9.2.1 9.3.1","9.2.1 9.3.1",,F.1.2.8,,8.4.2,,,,"ACCESS-3.B.MIL1 ACCESS-3.I.MIL3","AM:SG1.SP1 EC:SG2.SP2 HRM:SG2.SP1 ID:SG1.SP1 ID:SG1.SP2 ID:SG1.SP3",,5.9.1.2,PE.L1-3.10.1,PE.L1-3.10.1,PE.L1-3.10.1,PE.L1-b.1.viii,PE.L2-3.10.1,PE.L2-3.10.1,PE-2,,,,52.204-21(b)(1)(viii),,,,PE-2 ,PE-2 ,PE-2 ,PE-2 ,PE-2 ,PE-2,PE-2,PE-2,PE-2,PE-2,,,,,,"164.310(a)(2)(ii) 164.310(a)(2)(iii)",,,,"2.B.3 PE-2",,,"8-308 5-306 5-308 6-104","10.6 11.1 11.2 11.3",,,,,,PE-2 ,PE-2 ,PE-2 ,,,,,,,,,,,,,,,,,,PE-2,PE-2,PE-2,,,,,,,,,,,,,,,,,,,,,,,"12.27 18.3",,,,,,,,,,,,,TPC-86,,2-14-3-1,2-13-1-1,,,,,8.1.1 [MP.IF.1],,,,,B2.a,,,,,,,,,,,,,,,,,,,,,11.1.1,,,"8.1.11.C.01 8.1.11.C.02",,,,,8.5.6(a),,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Role-Based Physical Access,PES-02.1,Physical access control mechanisms exist to authorize physical access to facilities based on the position or role of the individual.,,E-PES-03,Does the organization authorize physical access to facilities based on the position or role of the individual?,9,Protect,,X,X,There is no evidence of a capability to authorize physical access to facilities based on the position or role of the individual.,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • IT personnel implement appropriate physical security practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets and data.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • An Identity and Access Management (IAM), or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts. IAM integrates into physical access using a holistic approach to physical and logical access.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Physical & Environmental Security (PES) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC6.4,"CC6.4-POF1 CC6.4-POF2",,,,,,DSS05.05,,"DCS-09 LOG-12",,,,,,,,,,"5.15 5.18",,,,,,,,"OR-3.1 PS-1.0 PS-1.2",Sec 4(D)(2)(c),,,,,,PE-2(1),,,,PE-2(1),,,,,PE-2(1),,,,,,PE-2(1),,,,PE-2(1),PE-2(1),,"3.10.1.a 3.10.1.b 3.10.1.c 3.10.1.d",,,,,,,,,"9.1 9.2 9.2.1 9.3 9.3.1 9.3.1.1",,9.2.1,,,9.2.1,9.2.1,"9.2.1 9.3.1 9.3.1.1","9.2.1 9.3.1 9.3.1.1",,F.1.2.8.2,,3.1.1,,,,"ACCESS-3.E.MIL2 ACCESS-3.I.MIL3",,,5.9.1.3,,,,,,,PE-2(1),,,,,,,,,,,,,,,,,,,,,,,"164.310(a)(2)(ii) 164.310(a)(2)(iii)",,,,,,,,"10.6 11.1 11.2 11.3",,,,,,,,,,,,,,,,,,,,,,,38-99-20(D)(2)(c),,,,,,,,,3.4.3(34),,,,,,,,,,,,,,,,,,,"12.27 18.4",,,,,,,,,,,,,TPC-86,,,,,,,,8.1.1 [MP.IF.1],,,,,,,,,,,,,,,,,,,Article 27,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Dual Authorization for Physical Access,PES-02.2,"Mechanisms exist to enforce a ""two-person rule"" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).",,,"Does the organization enforce a ""two-person rule"" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e?g?, safe, high-security cage, etc?)?",2,Protect,,X,,"There is no evidence of a capability to enforce a ""two-pers on rule"" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).","SP-CMM1 is N/A, since a structured process is required to enforce a ""two-pers on rule"" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • An Identity and Access Management (IAM), or similar function, centrally manages permissions and implements “least privileges” practices for the management of user, group and system accounts. IAM integrates into physical access using a holistic approach to physical and logical access.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce a ""two-pers on rule"" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce a ""two-pers on rule"" for physical access by requiring two authorized individuals with separate access cards, keys or PINs, to access highly-sensitive areas (e.g., safe, high-security cage, etc.).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.1.2.2,,,,,,ACCESS-3.F.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.8.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Physical Access Control ,PES-03,Physical access control mechanisms exist to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).,"- Security guards - Verify individual access authorizations before granting access to the facility. - Control entry to the facility containing the system using physical access devices and/or guards. - Control access to areas officially designated as publicly accessible in accordance with the organization’s assessment of risk. - Secure keys, combinations and other physical access devices. - Change combinations and keys and when keys are lost, combinations are compromised or individuals are transferred or terminated.",E-PES-02,Does the organization enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible)?,10,Protect,,X,X,There is no evidence of a capability to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).,"SP-CMM1 is N/A, since a structured process is required to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).",CC6.4,"CC6.4-POF1 CC6.4-POF2",,,,,,"DSS01.05 DSS05.05",,"DCS-07 LOG-12",PHY-01,SO9,,,,,,,11.1.1,"5.15 5.18 7.1 7.4",11.1.1,,"6.6 6.6.1 6.6.1.1",,,,,"OP-3.2 PS-1.0 PS-1.2 PS-1.5 PS-2.0",Sec 4(D)(2)(c),,PR.AC-P2,,,,"PE-3 PE-3(2) PE-3(3)",PE-3,PE-3,PE-3,"PE-3 PE-3(2) PE-3(3)",,PE-3,PE-3,PE-3,"PE-3(2) PE-3(3)",,PE-3,PE-3,PE-3,,"PE-3 PE-3(2)",PE-3,,,"PE-3 PE-3(2)","PE-3 PE-3(2)",3.10.5,"3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d","3.10.5[a] 3.10.5[b] 3.10.5[c]","A.03.10.07.a.01 A.03.10.07.a.02 A.03.10.07.d[01] A.03.10.07.d[02] A.03.10.07.d[03]",,,PR.AC-2,"PR.AA-01 PR.AA-06",,"9.1 9.1.1 9.1.2 9.2 9.4.2 9.4.3","9.1 9.1.2 9.2 9.2.1",,9.2.1,,,9.2.1,9.2.1,"9.1.2 9.2.1","9.1.2 9.2.1",,F.1.2.2,3.1,"3.1.1 8.1.2 8.1.3 8.1.5 8.4.2",,,,"ACCESS-3.A.MIL1 ACCESS-3.D.MIL2 ACCESS-3.E.MIL2 ACCESS-3.F.MIL2 ACCESS-3.G.MIL2 ACCESS-3.H.MIL2 ACCESS-3.J.MIL3","AM:SG1.SP1 EC:SG2.SP1 EC:SG2.SP2",,5.9.1.3,PE.L1-3.10.5,PE.L1-3.10.5,PE.L1-3.10.5,PE.L1-b.1.ix,PE.L2-3.10.5,PE.L2-3.10.5,PE-3,,,,52.204-21(b)(1)(ix),,,,PE-3 ,PE-3 ,PE-3 ,PE-3 ,PE-3 ,PE-3,PE-3,PE-3,PE-3,PE-3,,"D3.PC.Am.B.11 D3.PC.Am.B.17",,,,,6.S.B,"5.M.C 6.M.E","5.M.C 6.M.E","2.B.3 2.B.3.2 2.B.3.5 PE-3 PE-3(2)",,,"5-300 6-104","10.6 11.1 11.2 11.3",,,,,,PE-3 ,PE-3 ,PE-3 ,,,,,,,,,,17.03(2)(g),,,,622(2)(d)(C)(ii),38-99-20(D)(2)(c),,,PE-3,PE-3,PE-3,,,§ 2447(b)(7),,,,,,,,,,,,,,,,"PS-03 PS-04",,,,"9.15 12.27 18.4",,,,,,,,,,,,,"TPC-47 TPC-82 TPC-86",,2-14-3-1,2-13-1-3,,,,,8.1.1 [MP.IF.1],,,,,,,,,,,,,,,1296,,,,,,,,,,,11.1.1,,,,,,,,"8.5.6(c) 5.5.6(f)",,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 NAIC MA 201 CMR 17 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Controlled Ingress & Egress Points,PES-03.1,Physical access control mechanisms exist to limit and monitor physical access through controlled ingress and egress points.,,,Does the organization limit and monitor physical access through controlled ingress and egress points?,9,Protect,,X,,There is no evidence of a capability to limit and monitor physical access through controlled ingress and egress points.,"SP-CMM1 is N/A, since a structured process is required to limit and monitor physical access through controlled ingress and egress points.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to enforce physical access authorizations for all physical access points (including designated entry/exit points) to facilities (excluding those areas within the facility officially designated as publicly accessible).","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit and monitor physical access through controlled ingress and egress points.",,,,,,,,DSS05.05,,DCS-07,,,,,,,,,,"7.1 7.2",,,,,,,,"PS-1.0 PS-1.4 PS-2.0",,,PR.AC-P2,,,,,,,,,,,,,,,,,,,,,,,,,,"3.10.7.a 3.10.7.a.1 3.10.7.a.2",,A.03.10.07.a.02,,,,,,"9.1 9.1.1 9.1.2 9.1.3","9.2 9.2.1 9.3 9.3.1",,9.2.1,,,9.2.1,9.2.1,"9.2.1 9.3.1","9.2.1 9.3.1",,F.1.2.5,,"3.1.1 8.1.2 8.1.5 8.4.2",,,,,,,5.9.1.1,,,,PE.L1-b.1.ix,,,,,,,52.204-21(b)(1)(ix),,,,,,,,,,,,,,,,,,,,6.S.B,,,,,,,10.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-03,,,,"12.27 18.6 18.8",,,,,,,,,,,,,TPC-82,,2-14-3-1,2-13-1-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.5.6(f),,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Lockable Physical Casings,PES-03.2,"Physical access control mechanisms exist to protect system components from unauthorized physical access (e.g., lockable physical casings). ","- CCTV - Lockable server/network racks - Logged access badges to access server rooms",,"Does the organization protect system components from unauthorized physical access (e?g?, lockable physical casings)? ",5,Protect,,X,X,"There is no evidence of a capability to protect system components from unauthorized physical access (e.g., lockable physical casings). ","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to protect system components from unauthorized physical access (e.g., lockable physical casings). ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to protect system components from unauthorized physical access (e.g., lockable physical casings). ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect system components from unauthorized physical access (e.g., lockable physical casings). ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.AC-P2,,,,"PE-3(4) SC-7(14)",,,,"PE-3(4) SC-7(14)",,,,,"PE-3(4) SC-7(14)",,,,,,SC-7(14),,,,SC-7(14),SC-7(14),,,,,,,,,,,9.2.4,,,,,,,9.2.4,9.2.4,,F.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.M.C,5.M.C,,,,,"10.5 10.6 10.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.6 18.11",,,,,,,,,,,,,TPC-46,,,2-13-1-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.5.C.01,,,,,8.5.6(d),,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Physical Access Logs ,PES-03.3,Physical access control mechanisms exist to generate a log entry for each access through controlled ingress and egress points.,"- Visitor logbook - iLobby (https://goilobby.com/) - The Receptionist (https://thereceptionist.com/) - LobbyGuard (http://lobbyguard.com/)",E-PES-02,Does the organization generate a log entry for each access through controlled ingress and egress points?,6,Protect,,X,X,There is no evidence of a capability to generate a log entry for each access through controlled ingress and egress points.,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to generate a log entry for each access through controlled ingress and egress points.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies are configured to generate a log entry for each access through controlled ingress and egress points.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to generate a log entry for each access through controlled ingress and egress points.",,CC6.4-POF3,,,,,,,,LOG-12,,,,,,,,,11.1.2,7.2,11.1.2,,,,,,,"OP-3.2 PS-1.1 PS-1.2",,,,,,,PE-8,PE-8,PE-8,PE-8,PE-8,,PE-8,PE-8,PE-8,,,PE-8,PE-8,PE-8,,,,,,,,"3.10.4 NFO - PE-8",3.10.7.b,3.10.4,A.03.10.07.b,,,,,,9.4.4,"9.2.1 9.2.1.1",,9.2.1,,,9.2.1,9.2.1,9.2.1,9.2.1,,F.1.2.8,,8.1.6,,,,"ACCESS-3.C.MIL1 ACCESS-3.J.MIL3","ADM:SG1.SP1 EC:SG2.SP2",,,PE.L1-3.10.4,PE.L1-3.10.4,PE.L1-3.10.4,PE.L1-b.1.ix,PE.L2-3.10.4,PE.L2-3.10.4,PE-8,,,,52.204-21(b)(1)(ix),,,,PE-8 ,PE-8 ,PE-8 ,PE-8 ,PE-8 ,PE-8,PE-8,PE-8,PE-8,PE-8,,,,,,,,,,PE-8,,,,,,,,,,PE-8 ,PE-8 ,PE-8 ,,,,,,,,,,,,,,622(2)(d)(C)(ii),,,,PE-8,PE-8,PE-8,,,,,,,,,,,,,,,,,,,,,,,18.5,,,,,,,,,,,,,,,2-14-3-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"FAR 52.204-21 OR 6464A",,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Access To Information Systems,PES-03.4,"Physical access control mechanisms exist to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.",,,"Does the organization enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility?",5,Protect,,X,X,"There is no evidence of a capability to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.","SP-CMM1 is N/A, since a structured process is required to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enforce physical access to critical information systems or sensitive/regulated data, in addition to the physical access controls for the facility.",,,,,,,,DSS05.05,,,,,,,,,,,,,,,,,,,,PS-1.0,,,PR.AC-P2,,,,PE-3(1),,,PE-3(1),PE-3(1),,,,PE-3(1),,,,,PE-3(1),,PE-3(1),,,,PE-3(1),PE-3(1),,"3.10.1.a 3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.c",,"A.03.04.05[02] A.03.04.05[03]",,,PR.AC-2,,,,,,,,,,,,,,F.1.2.9,3.1,"3.1.1 8.1.2 8.1.3 8.1.4",,,,ARCHITECTURE-3.J.MIL2,,,,,,,,,,,,,,,,,,PE-3(1),,,PE-3(1),,PE-3(1),,,PE-3(1),,,,,,,,,,,,,,,"11.1 11.2 11.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-04,,,,,,,,,,,,,,,,,"TPC-46 TPC-49",,2-3-3-2,2-13-1-5,,,,,,,,,,,,,,,,,,,,"1053 1530 0813 1074",,,,,,,,,,,,,,"8.3.3.C.01 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01",,,,,8.5.6(d),,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,"Physical Security of Offices, Rooms & Facilities",PES-04,"Mechanisms exist to identify systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities. ","- ""clean desk"" policy - Management spot checks",,"Does the organization identify systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities? ",10,Protect,,X,,"There is no evidence of a capability to identify systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities. ","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to monitor physical access to business-critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls are designed and implemented for offices, rooms and facilities.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls are designed and implemented for offices, rooms and facilities.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify systems, equipment and respective operating environments that require limited physical access so that appropriate physical access controls are designed and implemented for offices, rooms and facilities. ",,,,,,,,,,,,,,,,,,,"11.1.1 11.1.3 11.2.9","5.15 7.1 7.3 7.5 7.7","11.1.1 11.1.3 11.2.9",,"6.8 6.8.1 6.8.1.1 6.8.1.3 6.8.2.9",,,,,"OP-3.2 PS-1.0 PS-1.2",,,PR.AC-P2,,,,,,,,,,,,,,,,,,,,,,,,,3.10.5,"3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d",,,,,,PR.AA-06,,9.3,9.3.1.1,,,,,,,9.3.1.1,9.3.1.1,,F.1.2,3.1,"3.1.1 8.1.2 8.1.3 8.1.4 8.2.5",,,,,,,"5.9.1.5 5.9.2",PE.L1-3.10.5,PE.L1-3.10.5,,PE.L1-b.1.viii,PE.L2-3.10.5,PE.L2-3.10.5,,,,,52.204-21(b)(1)(viii),,,,,,,,,,,,,,,,,,,,,"5.M.C 6.M.E","5.M.C 6.M.E","2.B.3.3 2.B.5",,,,"11.1 11.2 11.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,§ 2447(b)(7),,,,,,,,,,,,,,,,PS-04,,,,"9.15 18.6",,,,,,,,,,,,,TPC-46,,2-14-3-5,2-13-1-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.1.1 11.1.3 11.2.9",,,"8.2.6.C.01 8.2.6.C.02",,,,,8.5.6(e),,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Working in Secure Areas,PES-04.1,Physical security mechanisms exist to allow only authorized personnel access to secure areas. ,- Visitor escorts,,Does the organization allow only authorized personnel access to secure areas? ,10,Protect,,X,,There is no evidence of a capability to allow only authorized personnel access to secure areas. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to monitor physical access to business-critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies ensure that only authorized personnel are allowed access to secure areas. ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies ensure that only authorized personnel are allowed access to secure areas. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to allow only authorized personnel access to secure areas. ",,,,,,,,,,"DCS-09 HRS-03",,,,,,,,,"11.1.2 11.1.5","5.15 7.2 7.3 7.5 7.6","11.1.2 11.1.5",,"6.8.1.2 6.8.1.5",,,,,"OP-3.2 PS-1.0 PS-1.2",,,PR.AC-P2,,,,,,,,,,,,,,,,,,,,,,,,,,"3.10.7.a 3.10.7.a.1 3.10.7.a.2 3.10.7.b 3.10.7.c 3.10.7.d",,,,,,PR.AA-06,,,9.3.1.1,,,,,,,9.3.1.1,9.3.1.1,,F.9.2,3.1,"3.1.1 8.1.2 8.1.3 8.1.4 8.2.5 8.2.6 8.2.7",,,,,,,"5.9.1.5 5.9.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.M.E,6.M.E,"2.B.3 2.B.3.3",,,,"11.1 11.2 11.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,§ 2447(b)(7),,,,,,,,,,,,,,,,,,,,18.6,,,,,,,,,,,,,TPC-49,,2-14-3-5,2-13-1-5,,,,,,,,,,,,,,,,,,,,0164,,,,,,,,,,,"11.1.2 11.1.5",,,,,,,,"8.5.6(e) 5.5.6(f)",,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Searches,PES-04.2,"Physical access control mechanisms exist to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.",,,"Does the organization inspect personnel and their personal effects (e?g?, personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets?",1,Detect,,X,,"There is no evidence of a capability to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.","SP-CMM1 is N/A, since a structured process is required to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.","SP-CMM2 is N/A, since a well-defined process is required to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to inspect personnel and their personal effects (e.g., personal property ordinarily worn or carried by the individual, including vehicles) to prevent the unauthorized exfiltration of data and technology assets.",,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-2.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.1.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.1.12.C.01 8.1.13.C.01 8.1.13.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Temporary Storage,PES-04.3,"Physical access control mechanisms exist to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/or security guards.",,,"Does the organization temporarily store undelivered packages or deliveries in a dedicated, secure area (e?g?, security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/or security guards?",2,Protect,,X,,"There is no evidence of a capability to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.","SP-CMM1 is N/A, since a structured process is required to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to temporarily store undelivered packages or deliveries in a dedicated, secure area (e.g., security cage, secure room) that is locked, access-controlled and monitored with surveillance cameras and/ or security guards.",,,,,,,,,,,,,,,,,,,,,,,,,,,,OP-3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Monitoring Physical Access,PES-05,"Physical access control mechanisms exist to monitor for, detect and respond to physical security incidents.",,,"Does the organization monitor for, detect and respond to physical security incidents?",7,Detect,X,X,X,"There is no evidence of a capability to monitor for, detect and respond to physical security incidents.","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • A physical security team, or similar function, monitors physical intrusion alarms and surveillance equipment.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor for, detect and respond to physical security incidents.",,CC6.4-POF3,,,,,,,,DCS-10,PHY-01,SO9,,,,,,,,7.4,,,,,,,,PS-1.3,,,,,,,PE-6,PE-6,PE-6,PE-6,PE-6,,PE-6,PE-6,PE-6,,,PE-6,PE-6,PE-6,,PE-6,PE-6,,PE-6,PE-6,PE-6,3.10.2,"3.10.1.c 3.10.2.a 3.10.2.b",,"A.03.10.02.a[01] A.03.10.02.a[02] A.03.10.02.b",,,DE.CM-2,DE.CM-02,,"9.1 9.1.1",9.2.1.1,,,,,9.2.1.1,,9.2.1.1,9.2.1.1,,J.7.7,3.1,8.1.6,,,,"ACCESS-3.C.MIL1 ACCESS-3.J.MIL3","EC:SG2.SP1 IMC:SG2.SP1",,5.9.1.6,,PE.L2-3.10.2,,PE.L1-b.1.ix,PE.L2-3.10.2,PE.L2-3.10.2,PE-6,,,,52.204-21(b)(1)(ix),,,,PE-6 ,PE-6 ,PE-6 ,PE-6 ,PE-6 ,PE-6,PE-6,PE-6,PE-6,PE-6,,"D3.PC.Am.E.4 D3.Dc.Ev.B.5",,,,,,,,PE-6,,,5-300,,,,,,,PE-6 ,PE-6 ,PE-6 ,,,,,,,,,,,,,,622(2)(d)(C)(ii),,,,PE-6,PE-6,PE-6,,,,,,,,,,,,,,,,,,,,,,,"18.8 18.10 18.11",,,,,,,,,,,,,,,2-14-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.5.5,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Intrusion Alarms / Surveillance Equipment ,PES-05.1,Physical access control mechanisms exist to monitor physical intrusion alarms and surveillance equipment. ,- CCTV,,Does the organization monitor physical intrusion alarms and surveillance equipment? ,9,Detect,,X,X,There is no evidence of a capability to monitor physical intrusion alarms and surveillance equipment. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • A physical security team, or similar function, monitors physical intrusion alarms and surveillance equipment. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Physical & Environmental Security (PES) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,DCS-10,PHY-01,,,,,,,,,7.4,,,,,,,,"PS-1.3 PS-1.4 PS-3.0",,,,,,,PE-6(1),,PE-6(1),PE-6(1),PE-6(1),,,PE-6(1),PE-6(1),,,,PE-6(1),PE-6(1),,,,,,,,"3.10.2 NFO - PE-6(1)",,,,,,,,,,9.2.1.1,,,,,9.2.1.1,,9.2.1.1,9.2.1.1,,F.1.2.5,,8.1.6,,,,,,,,,PE.L2-3.10.2,,,PE.L2-3.10.2,PE.L2-3.10.2,PE-6(1),,,,,,,,PE-6(1) ,,PE-6(1) ,PE-6(1) ,,PE-6(1),,PE-6(1),PE-6(1),,,,,,,,,,,PE-6(1),,,,,,,,,,,,PE-6(1) ,,,,,,,,,,,,,,,,,,,,PE-6(1),,,,,,,,,,,,,,,,,,,,,,,"18.9 18.11",,,,,,,,,,,,,,,2-14-3-2,2-13-1-2,,,,,,,,,,,,,,,,,,,,,,,,,,Article 26,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Monitoring Physical Access To Information Systems,PES-05.2,"Facility security mechanisms exist to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.",,,"Does the organization monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility?",5,Detect,,X,X,"There is no evidence of a capability to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • A physical security team, or similar function, monitors physical intrusion alarms and surveillance equipment. • Physical controls and technologies are configured to monitor for, detect and respond to physical security incidents.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor physical access to critical information systems or sensitive/regulated data, in addition to the physical access monitoring of the facility.",,,,,,,,,,,PHY-01,,,,,,,,,7.4,,,,,,,,PS-1.3,,,,,,,PE-6(4),,,PE-6(4),PE-6(4),,,,PE-6(4),,,,PE-6(4),PE-6(4),,,,,,,,3.10.2,"3.10.1.c 3.10.2.a 3.10.2.b",,,,,,,,,9.2.1.1,,,,,9.2.1.1,,9.2.1.1,9.2.1.1,,F.10.2,,8.1.6,,,,,,,,,PE.L2-3.10.2,,,PE.L2-3.10.2,PE.L2-3.10.2,,,,,,,,,PE-6(4),,,PE-6(4),,PE-6(4),,,PE-6(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.5.5,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for PE-6(4) Physical & Environmental Security ,Visitor Control,PES-06,"Physical access control mechanisms exist to identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible). ","- Visitor logbook - iLobby (https://goilobby.com/) - The Receptionist (https://thereceptionist.com/) - LobbyGuard (http://lobbyguard.com/)",E-PES-02,"Does the organization identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible)? ",9,Protect,,X,,"There is no evidence of a capability to identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible). ","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. • Administrative processes, physical controls and technologies identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible). ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Physical & Environmental Security (PES) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,11.1.2,7.2,11.1.2,,,,,,,"OP-1.0 PS-1.1",,,PR.AC-P2,,,,,,,,,,,,,,,,,,,,,,,,,3.10.3,3.10.7.c,"3.10.3[a] 3.10.3[b]","A.03.10.07.c[01] A.03.10.07.c[02] A.03.10.07.ODP[01]",,,,,,"9.4 9.4.1 9.4.2 9.4.3 9.4.4","9.3.2 9.3.3 9.3.4",,,,,,,"9.3.2 9.3.3 9.3.4","9.3.2 9.3.3 9.3.4",,F.2.1,3.1,8.1.7,,,,,,,5.9.1.7,PE.L1-3.10.3,PE.L1-3.10.3,PE.L1-3.10.3,PE.L1-b.1.ix,PE.L2-3.10.3,PE.L2-3.10.3,,,,,52.204-21(b)(1)(ix),,,,,,,,,,,,,,,,,,,,,,,2.B.3.1,,"CIP-006-6 R2",,11.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-04,,,,"18.3 18.12",,,,,,,,,,,,,TPC-47,,,2-13-1-6,,,,,"8.1.2 [MP.IF.2] 8.1.7 [MP.IF.7]",,,,,,,,,,,,,,,0164,,,,,,,,,,,11.1.2,,,"9.4.4.C.01 9.4.5.C.01 9.4.5.C.02 9.4.6.C.01 9.4.6.C.02 9.4.7.C.01 9.4.8.C.01 9.4.9.C.01 9.4.10.C.01",,,,,"8.5.6(b) 5.5.6(f)",,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Distinguish Visitors from On-Site Personnel,PES-06.1,"Physical access control mechanisms exist to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. ","- Visible badges for visitors that are different from organizational personnel ",,"Does the organization easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible? ",8,Protect,,X,,"There is no evidence of a capability to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. ","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. • Administrative processes, physical controls and technologies identify, authorize and monitor visitors before allowing access to the facility (other than areas designated as publicly accessible). ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to easily distinguish between onsite personnel and visitors, especially in areas where sensitive/regulated data is accessible. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.10.1.b,,,,,,,,9.2,9.3.2,,,,,,,9.3.2,9.3.2,,F.2.4,,,,,,,,,,,,,PE.L1-b.1.ix,,,,,,,52.204-21(b)(1)(ix),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-47,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Identification Requirement,PES-06.2,Physical access control mechanisms exist to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.,,,Does the organization require at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility?,8,Protect,,X,,There is no evidence of a capability to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes require at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes require at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to requires at least one (1) form of government-issued or organization-issued photo identification to authenticate individuals before they can gain access to the facility.",,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-1.1,,,,,,,PE-2(2),,,,PE-2(2),,,,,PE-2(2),,,,,,,,,,,,,,,,,,,,,"9.4 9.4.1 9.4.2 9.4.3",9.3.2,,,,,,,9.3.2,9.3.2,,F.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,622(2)(d)(C)(ii),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-47,,,,,,,,8.1.2 [MP.IF.2],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,OR 6464A,,x,"R-AC-4 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-SA-1",,,,R-AC-4,,,,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Restrict Unescorted Access,PES-06.3,"Physical access control mechanisms exist to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access. ",,,"Does the organization restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access? ",10,Protect,,X,,"There is no evidence of a capability to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access. ","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validate the need for access. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.AC-P2,,,,PE-2(3),,,,PE-2(3),,,,,PE-2(3),,,,,,,,,,,,3.10.3,3.10.7.c,"3.10.3[a] 3.10.3[b]",A.03.10.07.c[01],,,,,,9.3,9.3.2,,,,,,,9.3.2,9.3.2,,F.2.3,3.1,,,,,,,,,PE.L1-3.10.3,PE.L1-3.10.3,PE.L1-3.10.3,PE.L1-b.1.ix,PE.L2-3.10.3,PE.L2-3.10.3,,,,,52.204-21(b)(1)(ix),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-48,,,2-13-1-7,,,,,,,,,,,,,,,,,,,,0164,,,,,,,,,,,,,,9.4.7.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Automated Records Management & Review,PES-06.4,Automated mechanisms exist to facilitate the maintenance and review of visitor access records.,,E-PES-02,Does the organization use automated mechanisms to facilitate the maintenance and review of visitor access records?,5,Protect,,X,X,There is no evidence of a capability to facilitate the maintenance and review of visit or access records.,"SP-CMM1 is N/A, since a structured process is required to facilitate the maintenance and review of visit or access records.","SP-CMM2 is N/A, since a well-defined process is required to facilitate the maintenance and review of visit or access records.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the maintenance and review of visit or access records.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the maintenance and review of visit or access records.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-8(1),,,PE-8(1),PE-8(1),,,,PE-8(1),,,,,PE-8(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,F.2.5,,,,,,,,,,,,,,,,,,,,,,,,PE-8(1),,,PE-8(1),,PE-8(1),,,PE-8(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.4.9.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-GV-1 R-GV-2 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,,,,,,,,R-GV-1,R-GV-2,,,,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Physical & Environmental Security ,Minimize Visitor Personal Data (PD),PES-06.5,Mechanisms exist to minimize the collection of Personal Data (PD) contained in visitor access records.,,,Does the organization minimize the collection of Personal Data (PD) contained in visitor access records?,3,Protect,,X,X,There is no evidence of a capability to minimize the collection of Personal Data (PD) contained in visit or access records.,"SP-CMM1 is N/A, since a structured process is required to minimize the collection of Personal Data (PD) contained in visit or access records.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to minimize the collection of Personal Data (PD) contained in visit or access records.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to minimize the collection of Personal Data (PD) contained in visit or access records.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PE-8(3) PM-25 SA-8(33)","PE-8(3) PM-25 SA-8(33)",,,,,,,,,,PM-25,,,,PM-25,,,,,,,,,,,,9.3.4,,,,,,,9.3.4,9.3.4,,P.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6-1-1308(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.4.9.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Visitor Access Revocation,PES-06.6,"Mechanisms exist to ensure visitor badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.",,,"Does the organization ensure visitor badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration?",7,Protect,,X,X,"There is no evidence of a capability to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.","SP-CMM1 is N/A, since a structured process is required to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure visit or badges, or other issued identification, are surrendered before visitors leave the facility or are deactivated at a pre-determined time/date of expiration.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.3.3,,,,,,,9.3.3,9.3.3,,F.1.2.8.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-47,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Supporting Utilities ,PES-07,Facility security mechanisms exist to protect power equipment and power cabling for the system from damage and destruction. ,,E-PES-01,Does the organization protect power equipment and power cabling for the system from damage and destruction? ,9,Protect,,X,,There is no evidence of a capability to protect power equipment and power cabling for the system from damage and destruction. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect power equipment and power cabling for the system from damage and destruction. ",A1.2,,,,,,,DSS01.04,,"DCS-12 DCS-14",,SO10,,,,,,,"11.2.2 11.2.3 ","7.11 7.12","11.2.2 11.2.3 ",,"6.8.2.2 6.8.2.3",,,,,PS-3.1,,,,,,,PE-9,,PE-9,PE-9,PE-9,,,PE-9,PE-9,,,,PE-9,PE-9,,,,,,,,,,,,,,,PR.IR-02,,,,,,,,,,,,,F.3.1,,,,,,,EC:SG2.SP1,,,,,,,,,PE-9,,,,,,,,PE-9 ,,PE-9 ,PE-9 ,,PE-9,,PE-9,PE-9,,,,,,,,,,,,,,,,,,,,,,,PE-9 ,,,,,,,,,,,,,,,,,,,,PE-9,,,,3.4.3(35),,,,,,,,,,,,,,,"PS-01 PS-06",,,,,,,,,,,,,,,,,,,,,,,,,"8.1.3 [MP.IF.3] 8.1.4 [MP.IF.4]",,,,,,,,,,,,,,,,,,,,,,,,,,"11.2.2 11.2.3",,,"8.3.3.C.01 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01",,,,,"8.5.2 8.5.2(a) 8.5.2(b) 8.5.2(c)",,,,,,,,,,,,,,,,,,,,x,,,x,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Automatic Voltage Controls,PES-07.1,Facility security mechanisms exist to utilize automatic voltage controls for critical system components. ,,,Does the organization utilize automatic voltage controls for critical system components? ,8,Protect,,X,,There is no evidence of a capability to utilize automatic voltage controls for critical system components. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize automatic voltage controls for critical system components. ",A1.2,,,,,,,DSS01.04,,,,,,,,,,,11.2.2,7.11,11.2.2,,6.8.2.2,,,,,PS-3.1,,,,,,,PE-9(2),,,,PE-9(2),,,,,PE-9(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.4.3(35),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.1.4 [MP.IF.4],,,,,,,,,,,,,,,,,,,,,,,,,,11.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Emergency Shutoff,PES-07.2,"Facility security mechanisms exist to shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation.",,,"Does the organization shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation?",8,Protect,,X,,"There is no evidence of a capability to shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation.","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to shut off power in emergency situations by: ▪ Placing emergency shutoff switches or devices in close proximity to systems or system components to facilitate safe and easy access for personnel; and ▪ Protecting emergency power shutoff capability from unauthorized activation.",A1.2,,,,,,,DSS01.04,,,,,,,,,,,11.2.2,7.11,11.2.2,,,,,,,PS-3.1,,,,,,,PE-10,,PE-10,PE-10,PE-10,,,PE-10,PE-10,,,,PE-10,PE-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.3.12,,,,,,,"EC:SG4.SP1 EC:SG4.SP2",,,,,,,,,PE-10,,,,,,,,PE-10 ,,PE-10 ,PE-10 ,,PE-10,,PE-10,PE-10,,,,,,,,,,,,,,,,,,,,,,,PE-10 ,,,,,,,,,,,,,,,,,,,,PE-10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Emergency Power,PES-07.3,"Facility security mechanisms exist to supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source.",,,"Does the organization supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source?",8,Protect,,X,,"There is no evidence of a capability to supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source.","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to supply alternate power, capable of maintaining minimally-required operational capability, in the event of an extended loss of the primary power source.",A1.2,,,,,,,DSS01.04,,,,,,CR 7.5 (11.7),,,,,11.2.2,7.11,11.2.2,,,,,,,PS-3.1,,,,,,,"PE-11 PE-11(1) PE-11(2)",,PE-11,PE-11,"PE-11 PE-11(1) PE-11(2)",,,PE-11,"PE-11 PE-11(1)",,,,PE-11,"PE-11 PE-11(1)",,,,,,,,,,,,,,,PR.IR-02,,,,,,,,,,,,,F.6.1,,,,,,,"EC:SG4.SP1 EC:SG4.SP2 TM:SG5.SP1",,,,,,,,,PE-11,,,,,,,,"PE-11 PE-11(1)",,PE-11 ,"PE-11 PE-11(1)",,"PE-11 PE-11(1)",,PE-11,"PE-11 PE-11(1)",,,,,,,,,,,,,,,,,,,,,,,PE-11 ,,,,,,,,,,,,,,,,,,,,PE-11,,,,,,,,,,,,,,,,,,,"PS-01 PS-06",,,,"18.14 18.15",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1123,,,,,,,,,,,11.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Emergency Lighting,PES-07.4,Facility security mechanisms exist to utilize and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility. ,,,Does the organization utilize and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility? ,7,Protect,,X,,There is no evidence of a capability to utilize and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize and maintain automatic emergency lighting that activates in the event of a power outage or disruption and that covers emergency exits and evacuation routes within the facility. ",A1.2,,,,,,,DSS01.04,,,,,,,,,,,11.2.2,7.11,11.2.2,,,,,,,PS-3.1,,,,,,,PE-12,PE-12,PE-12,PE-12,PE-12,,PE-12,PE-12,PE-12,,,PE-12,PE-12,PE-12,,,,,,,,,,,,,,,PR.IR-02,,,,,,,,,,,,,F.1.2.15,,,,,,,"EC:SG4.SP1 EC:SG4.SP2",,,,,,,,,PE-12,,,,,,,,PE-12 ,PE-12 ,PE-12 ,PE-12 ,PE-12 ,PE-12,PE-12,PE-12,PE-12,PE-12,,,,,,,,,,,,,,,,,,,,,,PE-12 ,,,,,,,,,,,,,,,,,,PE-12,,PE-12,,,,,,,,,,,,,,,,,,,,,,,18.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Water Damage Protection,PES-07.5,"Facility security mechanisms exist to protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel. ","- Water leak sensors - Humidity sensors",,"Does the organization protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel? ",8,Protect,,X,,"There is no evidence of a capability to protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel. ","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect systems from damage resulting from water leakage by providing master shutoff valves that are accessible, working properly and known to key personnel. ",A1.2,,,,,,,DSS01.04,,DCS-13,,,,,,,,,,,,,,,,,,PS-3.1,,,,,,,PE-15,PE-15,PE-15,PE-15,PE-15,,PE-15,PE-15,PE-15,,,PE-15,PE-15,PE-15,,,,,,,,,,,,,,,PR.IR-02,,,,,,,,,,,,,F.3.4,,,,,,,"EC:SG4.SP1 EC:SG4.SP2",,,,,,,,,PE-15,,,,,,,,PE-15 ,PE-15 ,PE-15 ,PE-15 ,PE-15 ,PE-15,PE-15,PE-15,PE-15,PE-15,,,,,,,,,,,,,,,,,,,,PE-15 ,PE-15 ,PE-15 ,,,,,,,,,,,,,,,,,,PE-15,PE-15,PE-15,,,,3.4.3(35),,,,,,,,,,,,,,,PS-01,,,,18.19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Automation Support for Water Damage Protection,PES-07.6,Facility security mechanisms exist to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel. ,,,Does the organization detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel? ,5,Protect,,X,,There is no evidence of a capability to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel. ,"SP-CMM1 is N/A, since a structured process is required to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel. ","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect the presence of water in the vicinity of critical information systems and alert facility maintenance and IT personnel. ",,,,,,,,DSS01.04,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-15(1),,,PE-15(1),PE-15(1),,,,PE-15(1),,,,,PE-15(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,F.3.4,,,,,,,,,,,,,,,,,,,,,,,,PE-15(1),,,PE-15(1),,PE-15(1),,,PE-15(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.1.6 [MP.IF.6],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Redundant Cabling,PES-07.7,Mechanisms exist to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.,,,Does the organization employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged?,2,Protect,,,X,There is no evidence of a capability to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.,"SP-CMM1 is N/A, since a structured process is required to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ redundant power cabling paths that are physically separated to ensure that power continues to flow in the event one of the cables is cut or otherwise damaged.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-9(1),,,,PE-9(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.3.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Fire Protection,PES-08,Facility security mechanisms exist to utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source. ,,E-PES-01,Does the organization utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source? ,7,Protect,,X,,There is no evidence of a capability to Facility security utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to Facility security utilize and maintain fire suppression and detection devices/systems for the system that are supported by an independent energy source. ",A1.2,,,,,,,DSS01.04,,DCS-13,,,,,,,,,,,,,,,,,,PS-3.1,,,,,,,PE-13,PE-13,PE-13,PE-13,PE-13,,PE-13,PE-13,PE-13,,,PE-13,PE-13,PE-13,,,,,,,,,,,,,,,PR.IR-02,,,,,,,,,,,,,F.3.8,,,,,,,"EC:SG2.SP1 EC:SG4.SP1 EC:SG4.SP2",,,,,,,,,PE-13,,,,,,,,PE-13 ,PE-13 ,PE-13 ,PE-13 ,PE-13 ,PE-13,PE-13,PE-13,PE-13,PE-13,,,,,,,,,,,,,,,,,,,,PE-13 ,PE-13 ,PE-13 ,,,,,,,,,,,,,,,,,,PE-13,PE-13,PE-13,,,,3.4.3(35),,,,,,,,,,,,,,,"PS-01 PS-05",,,,18.17,,,,,,,,,,,,,,,,,,,,,8.1.5 [MP.IF.5],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.5.3 8.5.4",,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Fire Detection Devices,PES-08.1,Facility security mechanisms exist to utilize and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire. ,,,Does the organization utilize and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire? ,9,Detect,,X,,There is no evidence of a capability to utilize and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize and maintain fire detection devices/systems that activate automatically and notify organizational personnel and emergency responders in the event of a fire. ",A1.2,,,,,,,DSS01.04,,,,,,,,,,,,,,,,,,,,PS-3.1,,,,,,,PE-13(1),,,PE-13(1),PE-13(1),,,PE-13(1),PE-13(1),,,,PE-13(1),PE-13(1),,,,,,,,,,,,,,,PR.IR-02,,,,,,,,,,,,,F.1.2,,,,,,,,,,,,,,,,PE-13(1),,,,,,,,PE-13(1),,,PE-13(1),,PE-13(1),,PE-13(1),PE-13(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-05,,,,18.17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.5.3 8.5.4",,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Fire Suppression Devices,PES-08.2,Facility security mechanisms exist to utilize fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders. ,,,Does the organization utilize fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders? ,3,Protect,,X,,There is no evidence of a capability to utilize fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize fire suppression devices/systems that provide automatic notification of any activation to organizational personnel and emergency responders. ",A1.2,,,,,,,DSS01.04,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-13(2),,,PE-13(2),PE-13(2),,,,PE-13(2),,,,,PE-13(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,F.3.8,,,,,,,,,,,,,,,,PE-13(2),,,,,,,,PE-13(2) ,,PE-13(2) ,PE-13(2) ,,PE-13(2),,PE-13(2),PE-13(2),,,,,,,,,,,,,,,,,,,,,,,PE-13(2) ,,,,,,,,,,,,,,,,,,,,PE-13(2),,,,,,,,,,,,,,,,,,,PS-05,,,,18.17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security,Automatic Fire Suppression,PES-08.3,Facility security mechanisms exist to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.,,,Does the organization employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis?,5,Respond,,X,X,There is no evidence of a capability to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.,"SP-CMM1 is N/A, since a structured process is required to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ an automatic fire suppression capability for critical information systems when the facility is not staffed on a continuous basis.",,,,,,,,DSS01.04,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-13(3),,PE-13(3),PE-13(3),PE-13(2),,,,PE-13(2),,,,,PE-13(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,F.5.3,,,,,,,,,,,,,,,,PE-13(3),,,,,,,,PE-13(3),,,PE-13(3),,PE-13(2),,PE-13(2),PE-13(2),,,,,,,,,,,,,,,,,,,,,,,PE-13(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PS-05,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Temperature & Humidity Controls,PES-09,Facility security mechanisms exist to maintain and monitor temperature and humidity levels within the facility.,,E-PES-01,Does the organization maintain and monitor temperature and humidity levels within the facility?,9,Protect,,X,X,There is no evidence of a capability to maintain and monitor temperature and humidity levels within the facility.,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain and monitor temperature and humidity levels within the facility.",A1.2,"A1.2-POF2 A1.2-POF4",,,,,,DSS01.04,,,,,,,,,,,,,,,,,,,,PS-3.1,,,,,,,PE-14,PE-14,PE-14,PE-14,PE-14,,PE-14,PE-14,PE-14,,,PE-14,PE-14,PE-14,,,,,,,,,,,,,,,PR.IR-02,,,,,,,,,,,,,F.3.5,,,,,,,"EC:SG4.SP1 EC:SG4.SP2",,,,,,,,,PE-14,,,,,,,,PE-14 ,PE-14 ,PE-14 ,PE-14 ,PE-14 ,PE-14,PE-14,PE-14,PE-14,PE-14,,,,,,,,,,,,,,,,,,,,PE-14 ,PE-14 ,PE-14 ,,,,,,,,,,,,,,,,,,PE-14,PE-14,PE-14,,,,3.4.3(35),,,,,,,,,,,,,,,"PS-06 PS-07",,,,18.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Monitoring with Alarms / Notifications,PES-09.1,Facility security mechanisms exist to trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment. ,,,Does the organization trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment? ,8,Detect,,X,X,There is no evidence of a capability to trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to trigger an alarm or notification of temperature and humidity changes that be potentially harmful to personnel or equipment. ",A1.2,"A1.2-POF2 A1.2-POF4",,,,,,DSS01.04,,,,,,,,,,,,,,,,,,,,PS-3.1,,,,,,,PE-14(2),,,,PE-14(2),,,,,PE-14(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,F.1.2,,,,,,,,,,,,,,,,,,,,,,,,PE-14(2) ,,PE-14(2) ,PE-14(2) ,,PE-14(2),,,PE-14(2),,,,,,,,,,,,,,,,,,,,,,,PE-14(2) ,,,,,,,,,,,,,,,,,,,,PE-14(2),,,,,,,,,,,,,,,,,,,"PS-06 PS-07",,,,18.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Delivery & Removal ,PES-10,Physical security mechanisms exist to isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access. ,,,Does the organization isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access? ,8,Protect,,X,X,There is no evidence of a capability to isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access. ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to isolate information processing facilities from points such as delivery and loading areas and other points to avoid unauthorized access. ",A1.2,,,,,,,,,,,,,,,,,,11.1.6,7.2,11.1.6,,6.8.1.6,,,,,OP-1.0,,,,,,,PE-16,PE-16,PE-16,PE-16,PE-16,,PE-16,PE-16,PE-16,,,PE-16,PE-16,PE-16,,PE-16,PE-16,,,,PE-16,NFO - PE-16,,,,,,,,,,,,,,,,,,,,F.3.2,,,,,,,"AM:SG1.SP1 EC:SG2.SP2",,5.9.1.8,,,,,,,PE-16,,,,,,,,PE-16 ,PE-16 ,PE-16 ,PE-16 ,PE-16 ,PE-16,PE-16,PE-16,PE-16,PE-16,,,,,,,,,,PE-16,,,,,,,,,,PE-16 ,PE-16 ,PE-16 ,,,,,,,,,,,,,,622(2)(d)(C)(ii),,,,PE-16,PE-16,PE-16,,,,,,,,,,,,,,,,,,,,,,,18.20,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,11.1.6,,,,,,,,5.5.6(f),,,,,,,,,,,,,,,,,,,,x,OR 6464A,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Alternate Work Site,PES-11,"Physical security mechanisms exist to utilize appropriate management, operational and technical controls at alternate work sites.",,,"Does the organization utilize appropriate management, operational and technical controls at alternate work sites?",8,Protect,,X,X,"There is no evidence of a capability to utilize appropriate management, operational and technical controls at alternate work sites.","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies are employed at alternate work sites to provide “equal protection” of physical and digital assets.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies are employed at alternate work sites to provide “equal protection” of physical and digital assets.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize appropriate management, operational and technical controls at alternate work sites.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-17,,PE-17,PE-17,PE-17,,,PE-17,PE-17,,,,PE-17,PE-17,,PE-17,,,,,PE-17,3.10.6,"3.10.6.a 3.10.6.b","3.10.6[a] 3.10.6[b]","A.03.10.06.a A.03.10.06.b A.03.10.06.ODP[01]",,,,,,,,,,,,,,,,,C.4.3,,,,,,,EC:SG2.SP1,,,,PE.L2-3.10.6,PE.L2-3.10.6,,PE.L2-3.10.6,PE.L2-3.10.6,PE-17,,,,,,,,PE-17 ,,PE-17 ,PE-17 ,,PE-17,,PE-17,PE-17,,,,,,,,,,,PE-17,,,,,,,,,,,PE-17 ,PE-17 ,,,,,,,,,,,,,,,,,,PE-17,,PE-17,,,,,,,,,,,,,,,,,,,PS-02,,,,18.21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Equipment Siting & Protection ,PES-12,Physical security mechanisms exist to locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ,,,Does the organization locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access? ,9,Protect,X,X,X,There is no evidence of a capability to locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to protect the system from information leakage due to electromagnetic signals emanations. ","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls address system component location within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to locate system components within the facility to minimize potential damage from physical and environmental hazards and to minimize the opportunity for unauthorized access. ",A1.2,,,,,,,,,DCS-15,PHY-01,,,,,,,,"11.1.4 11.2.1 11.2.3 ","7.3 7.5 7.8 7.12","11.1.4 11.2.1 11.2.3 ",,"6.8.1.4 6.8.2 6.8.2.1 6.8.2.3",,,,,PS-1.0,,,,,,,"PE-18 PE-18(1) SC-7(14)",,,PE-18,"PE-18 PE-23 SC-7(14)",,,,PE-18,"PE-23 SC-7(14)",,,,PE-18,,"PE-18 PE-23 SC-7(14)",,PE-23,PE-18,"PE-18 PE-23 SC-7(14)","PE-18 PE-23 SC-7(14)",3.10.1,"3.10.8.a 3.10.8.b",,,,,,,,,"9.2.2 9.2.3 9.2.4",,,,9.2.2,9.2.2,,"9.2.2 9.2.3 9.2.4","9.2.2 9.2.3 9.2.4",,D.1.1.11,,8.1.4,,,,,EC:SG2.SP1,,,PE.L1-3.10.1,PE.L1-3.10.1,,PE.L1-b.1.viii,PE.L2-3.10.1,PE.L2-3.10.1,PE-18,,,,52.204-21(b)(1)(viii),,,,PE-18,,,PE-18,,PE-18,,,PE-18,,,,,,,,,6.M.E,6.M.E,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.7 18.13 18.22",,,,,,,,,,,,,,,,,,,,,8.1.3 [MP.IF.3],,,,,,,,,,,,,,,1644,,,,,,,,,,,"11.1.4 11.2.1 11.2.3",,,"8.3.3.C.01 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Transmission Medium Security,PES-12.1,"Physical security mechanisms exist to protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage. ",,,"Does the organization protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage? ",9,Protect,,X,X,"There is no evidence of a capability to protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage. ","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect power and telecommunications cabling carrying data or supporting information services from interception, interference or damage. ",,,,,,,,,,,,,,,,,,,11.2.3 ,7.12,11.2.3 ,,6.8.2.3,,,,,,,,,,,,"PE-4 SC-7(14)",,PE-4,PE-4,"PE-4 SC-7(14)",,,PE-4,PE-4,SC-7(14),,,PE-4,PE-4,,SC-7(14),,,,SC-7(14),SC-7(14),3.10.1,3.10.8.a,,A.03.10.08.a,,,,,,"9.1.2 9.1.3","9.2.2 9.2.3",,,,9.2.2,9.2.2,,"9.2.2 9.2.3","9.2.2 9.2.3",,F.3.11,,,,,,,EC:SG2.SP1,,5.9.1.4,PE.L1-3.10.1,PE.L1-3.10.1,,PE.L1-b.1.viii,PE.L2-3.10.1,PE.L2-3.10.1,PE-4,,,,52.204-21(b)(1)(viii),,,,PE-4 ,,PE-4 ,PE-4 ,,PE-4,,PE-4,PE-4,,,,,,,,,6.M.E,6.M.E,PE-4,,"CIP-014-2 R5",8-605,,,,,,,,PE-4 ,PE-4 ,,,,,,,,,,,,,,622(2)(d)(C)(ii) ,,,,,,PE-4,,,,,,,,,,,,,,,,,,,,,,,"9.15 18.13",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0181 0187 0189 0194 0195 0198 0201 0206 0208 0211 0213 0216 0217 0926 1095 1096 1098 1100 1101 1102 1103 1104 1105 1107 1109 1111 1112 1114 1115 1116 1119 1122 1130 1133 1164 1216 1639 1640 1718 1719 1720 1721 0218",,,,,,,,,,,11.2.3,,,"8.3.3.C.01 8.3.3.C.02 8.3.4.C.01 8.3.4.C.02 8.3.5.C.01 10.1.42.C.01 10.1.42.C.02 10.1.43.C.01 10.1.43.C.02 10.1.43.C.03 10.1.43.C.04 10.1.44.C.01 10.1.45.C.01 10.1.45.C.02 10.1.46.C.01 10.1.46.C.02 10.1.46.C.03 10.1.46.C.04 10.1.47.C.01 10.1.47.C.02 10.1.48.C.01 10.1.48.C.02 10.1.48.C.03 10.1.49.C.01 10.1.50.C.01 10.1.50.C.02 10.1.50.C.03 10.1.50.C.04 10.1.51.C.01 10.2.6.C.01 10.2.6.C.02 10.2.7.C.01 10.2.8.C.01 10.2.9.C.01 10.2.10.C.01 10.3.5.C.01 10.3.6.C.01 10.3.6.C.02 10.3.7.C.01 10.3.8.C.01 10.3.9.C.01 10.3.10.C.01 10.3.11.C.01 10.3.12.C.01 10.3.13.C.01 10.4.4.C.01 10.4.4.C.02 10.4.5.C.01 10.4.5.C.02 10.4.6.C.01 10.4.6.C.02 10.4.6.C.03 10.4.7.C.01 10.4.7.C.02 10.4.8.C.01 10.4.9.C.01 10.4.9.C.02 10.4.9.C.03 10.4.9.C.04 10.4.10.C.01 10.4.11.C.01 10.4.12.C.01 10.4.13.C.01 10.4.13.C.02 10.5.4.C.01 10.5.5.C.01 10.5.6.C.01 10.5.6.C.02 10.5.7.C.01 10.5.8.C.01 10.5.8.C.02 10.5.9.C.01 10.5.9.C.02 10.5.10.C.01 10.5.10.C.02 10.5.11.C.01 10.6.22.C.01 10.6.22.C.02 10.6.23.C.01 10.6.23.C.02 10.6.23.C.03 10.6.23.C.04 10.6.24.C.01 10.6.24.C.02 10.6.25.C.01 10.6.26.C.01 10.6.27.C.01 10.6.28.C.01 10.6.28.C.02 10.6.29.C.01 10.6.30.C.01 10.6.31.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Access Control for Output Devices,PES-12.2,Physical security mechanisms exist to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output. ,- Printer management (print only when at the printer with proximity card or code),,Does the organization restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output? ,8,Protect,,X,X,There is no evidence of a capability to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output. ,"SP-CMM1 is N/A, since a structured process is required to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output. ","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes, physical controls and technologies restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output. ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict access to printers and other system output devices to prevent unauthorized individuals from obtaining the output. ",PI1.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-5,,PE-5,PE-5,PE-5,,,PE-5,PE-5,,,,PE-5,PE-5,,,,,,,,3.10.1,3.10.8.b,,A.03.10.08.b,,,,,,,"9.2.2 9.2.3",,,,9.2.2,9.2.2,,"9.2.2 9.2.3","9.2.2 9.2.3",,D.10.16,,,,,,,"KIM:SG2.SP2 TM:SG2.SP2",,5.9.1.5,PE.L1-3.10.1,PE.L1-3.10.1,,PE.L1-b.1.viii,PE.L2-3.10.1,PE.L2-3.10.1,PE-5,,,,52.204-21(b)(1)(viii),,,,PE-5 ,,PE-5 ,PE-5 ,,PE-5,,PE-5,PE-5,,,,,,,,,6.M.E,6.M.E,PE-5,,,8-310,,,,,,,,PE-5 ,PE-5 ,,,,,,,,,,,,,,622(2)(d)(C)(ii),,,,,,PE-5,,,,,,,,,,,,,,,,,,,,,,,18.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1036,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"FAR 52.204-21 OR 6464A",,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Information Leakage Due To Electromagnetic Signals Emanations,PES-13,Facility security mechanisms exist to protect the system from information leakage due to electromagnetic signals emanations. ,,,Does the organization protect the system from information leakage due to electromagnetic signals emanations? ,5,Protect,,,X,There is no evidence of a capability to protect the system from information leakage due to electromagnetic signals emanations. ,"Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls. • Facility security mechanisms exist to protect the system from information leakage due to electromagnetic signals emanations. ","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Physical controls and technologies protect the system from information leakage due to electromagnetic signals emanations. ","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls and technologies protect the system from information leakage due to electromagnetic signals emanations. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to protect the system from information leakage due to electromagnetic signals emanations. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to protect the system from information leakage due to electromagnetic signals emanations. ",A1.2,,,,,,,,,,,,,,,,,,,8.12,,,,,,,,,,,PR.DS-P5,,,,PE-19,,,,PE-19,,,,,PE-19,,,,,,,,,,,,,,,,,,PR.DS-5,,,,,,,,,,,,,,D.8.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"D3.PC.Am.B.15 D3.PC.Am.Int.1 D3.PC.De.Int.1 D3.DC.Ev.Int.1",,,,,,"4.M.C 4.M.E","4.M.C 4.M.E 2.L.A 2.L.C 2.L.D 4.L.A",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0249 0246 0250",,,,,,,,,,,,,,"10.7.6.C.01 10.7.6.C.02 10.7.7.C.01 10.7.7.C.02 10.7.8.C.01 10.7.9.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-4 R-AM-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,,,,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Asset Monitoring and Tracking,PES-14,Physical security mechanisms exist to employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.,- RFID tagging,,Does the organization employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas?,6,Detect,,X,X,There is no evidence of a capability to employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.,"SP-CMM1 is N/A, since a structured process is required to employ asset location technologies that track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes, physical controls and technologies administrative processes, physical controls and technologies utilize asset location technologies to track and monitor the location and movement of organization-defined assets within organization-defined controlled areas.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Physical & Environmental Security (PES) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-20,,,,PE-20,,,,,PE-20,,,,,,PE-20,,,,PE-20,PE-20,,,,,,,,,,,,,,,,,,,,,D.1.1.7,,,,,,,"ADM:SG1.SP1 ADM:SG3.SP1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Electromagnetic Pulse (EMP) Protection,PES-15,Physical security mechanisms exist to employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.,- EMP shielding (Faraday cages),,Does the organization employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components?,1,Protect,,,X,There is no evidence of a capability to employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.,"SP-CMM1 is N/A, since a structured process is required to employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. ","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to employ safeguards against Electromagnetic Pulse (EMP) damage for systems and system components.",A1.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-21,,,,,PE-21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.8.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-GV-1",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,,,,,,,R-GV-1,,,,,,,,,,,,,,"NT-9 MT-4 MT-6 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,NT-9,,,,,,,,,MT-4,,MT-6,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Component Marking,PES-16,"Physical security mechanisms exist to mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.",,,"Does the organization mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component?",3,Protect,,X,,"There is no evidence of a capability to mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.","Physical & Environmental Security (PES) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized. • Physical security controls are primarily administrative in nature (e.g., policies & standards), focusing on protecting High Value Assets (HVAs). • Human Resources, or a similar function, maintains a current list of personnel and facilitates the implementation of physical access management controls.","Physical & Environmental Security (PES) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Physical access control is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for physical access control. • Human Resources, or a similar function, maintains a current list of personnel with authorized access to organizational facilities and facilitates the implementation of physical access management controls. • Physical security controls are primarily administrative in nature (e.g., policies & standards). • Physical controls, administrative processes and technologies are primarily designed and implemented for offices, rooms and facilities that focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • A facilities maintenance team, or similar function, manages the operation of automated physical and environmental protection controls. • Administrative processes and physical controls mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Administrative processes and physical controls mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.","Physical & Environmental Security (PES) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mark system hardware components indicating the impact or classification level of the information permitted to be processed, stored or transmitted by the hardware component.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PE-22,,,,,PE-22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,,,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Physical & Environmental Security ,Proximity Sensor ,PES-17,Automated mechanisms exist to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.,,,Does the organization use automated mechanisms to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario?,9,Protect,,X,X,There is no evidence of a capability to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.,"SP-CMM1 is N/A, since a structured process is required to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.","SP-CMM2 is N/A, since a well-defined process is required to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical proximity to robotic or autonomous platforms is continuously monitored to automatically change the operating state to reduce applied force or stop the operation when physical proximity sensors indicate a dangerous setting.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor physical proximity to robotic or autonomous platforms to reduce applied force or stop the operation when sensors indicate a potentially dangerous scenario.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-6 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,,,,,,R-EX-6,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Physical & Environmental Security ,On-Site Client Segregation,PES-18,Mechanisms exist to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.,,,Does the organization ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces?,6,Protect,X,X,,There is no evidence of a capability to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.,"SP-CMM1 is N/A, since a structured process is required to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.","SP-CMM2 is N/A, since a well-defined process is required to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.","Physical & Environmental Security (PES) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A physical security team, or similar function: o Performs the centralized-management of physical security controls across the enterprise. o Maintains a current list of personnel with authorized access to organizational facilities and implements physical access management controls. • A facilities maintenance team, or similar function, manages the operation of environmental protection controls. • Administrative processes exist to authorize physical access to facilities based on the position or role of the individual. • Administrative processes and physical controls restrict unescorted access to facilities to personnel with required security clearances, formal access authorizations and validated the need for access. • Physical controls are designed and implemented for offices, rooms and facilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure client-specific Intellectual Property (IP) is isolated from other data when client-specific IP is processed or stored within multi-client workspaces.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.26,,8.1.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-38,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-10 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,MT-10,,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Privacy Program,PRI-01,Mechanisms exist to facilitate the implementation and operation of data privacy controls. ,,"E-GOV-02 E-GOV-08",Does the organization facilitate the implementation and operation of data privacy controls? ,10,Identify,X,X,X,There is no evidence of a capability to facilitate the implementation and operation of data privacy controls. ,"Privacy (PRI) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity. • Formal roles and responsibilities for data privacy may exist. • No formal data privacy principles are identified for the organization. • An ad hoc approach to Data Protection Impact Assessment (DPIA) exists. • Compliance efforts are not tied into an enterprise-wide cybersecurity and/ or data privacy program.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for cybersecurity-related data privacy practices. • A Chief Privacy Officer (CPO), or similar function, analyzes the organization’s business strategy to develop and publish authoritative guidance on the organization’s data privacy program. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for cybersecurity-related data privacy practices. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to data privacy. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program. • A Privacy program, run by a CPO, or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation and operation of data privacy controls. ",P1.0,CC2.3-POF7,,,,,,"APO04.01 APO13.02",,"DSP-02 DSP-14",LGL-04,,,,,,,,18.1.4,"5.1 5.34",18.1.4,,"7.1 7.4 8.3 8.3.1 8.4 8.5.1","5.1 5.10",,,,,,MAP 1.6,"GV.PO-P1 GV.PO-P5 GV.PO-P6 CT.PO-P2 CM.PO-P1 CM.AW-P2 PR.PO-P9",,,,,,,,"PM-18 PT-1","PM-18 PT-1",,,,,,,,,,"PM-18 PT-1",,"PM-18 PT-1","PM-18 PT-1","PM-18 PT-1",PT-1,,,,,,,,,,,,,,,,,,,,,P.2,,"9.2 9.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,§ 1232h,,,,,"164.500 164.502 164.530(j) 164.530(j)(1)",,,,"PM-18 PT-1",,,,,,,,,5.5,,,,,,,"7004(a) 7010(a)",,"6-1-1305(2) 6-1-1305(7) 6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II) 6-1-1308(6) 6-1-105(1)(nnn)",,,,,,,,,,,,,,,,"59.1-578.B 59.1-579.A 59.1-579.A.1 59.1-579.A.2 59.1-579.A.3",,,,"Inferred Expectation","Art 32.1 Art 32.2 Art 32.3 Art 32.4",,,Principle 2.7.a,"Sec 14 Sec 15",Art 4,"Inferred Expectation","Inferred Expectation","Sec 8 Sec 9","Inferred Expectation","Inferred Expectation",,,"Inferred Expectation","Inferred Expectation","Inferred Expectation",,"Inferred Expectation","Inferred Expectation","30(1)(a) 30(1)(b)(i) 30(1)(b)(ii) 30(1)(b)(iii) 30(1)(b)(iv) 30(1)(b)(v) 30(1)(b)(vi) 30(1)(b)(vii) 30(1)(b)(viii) 30(2) 30(3)","Inferred Expectation","Inferred Expectation",4.1(3),"Inferred Expectation","Inferred Expectation","Inferred Expectation","Article 2 Article 3 Article 8.1","Inferred Expectation",,,,,,"Article 5.1 Article 59 Article 59.1 Article 59.2 Article 59.3 Article 59.4 Article 59.5 Article 59.6 Article 59.7 Article 59.8 Article 59.9 Article 59.10 Article 59.11","Inferred Expectation","Sec 19 Sec 20 Sec 60","Inferred Expectation",8.7.1 [MP.INFO.1],"Inferred Expectation","Inferred Expectation","Inferred Expectation","Inferred Expectation",,,,"Inferred Expectation","Article 24(1) Article 24(2) Article 24(3)",,,,"Inferred Expectation",APP 1,,,,,,"Inferred Expectation","Article 7 Article 16 Article 51 Article 51(1) Article 51(2) Article 51(3) Article 51(4) Article 51(5) Article 51(6) Article 58 Article 58(1) Article 58(2) Article 58(3) Article 58(4) Article 59","Inferred Expectation","Inferred Expectation","Inferred Expectation","Article 24(3) Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 26(2) Article 26(3) Article 26(4) Article 26-2(1) Article 26-2(1)(i) Article 26-2(1)(ii) Article 26-2(2) Article 26-2(3) Article 36 Article 37 Article 38 Article 39 Article 51(1) Article 51(2) Article 52(1) Article 53(2) Article 53(3) Article 53(1) Article 53(2) Article 53(3) Article 53(4) Article 54 Article 55",18.1.4,Sec 23,,,,"Inferred Expectation",Sec 12,,,"Art 3 Art 30","Inferred Expectation",Art 2,,Sec 6,,"Art 6.8 Art 6.10 Art 50",,,"Principle 1 Principle 8","Inferred Expectation",Art 4,Art 10,"Art 6 Art 14 Art 30","Art 12 Art 31",Art 5,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Data Privacy,Chief Privacy Officer (CPO),PRI-01.1,"Mechanisms exist to appoints a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.",,E-HRS-08,"Does the organization appoints a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program?",3,Identify,X,X,,"There is no evidence of a capability to appoint a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.","SP-CMM1 is N/A, since a structured process is required to appoint a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to appoint a Chief Privacy Officer (CPO) or similar role, with the authority, mission, accountability and resources to coordinate, develop and implement, applicable data privacy requirements and manage data privacy risks through the organization-wide data privacy program.",,,,,,,,,,,,,"1.1.0 1.1.2 1.2.1 1.2.2 1.2.8 1.2.9 2.1.0 4.2.3 8.2.1",,,,,,,,,"A.10.11 A.10.12",6.15.1.4,5.10,,,,,,,GV.PO-P5,,,,AR-1,,,,PM-19,PM-19,,,,,,,,,,PM-19,,,PM-19,,,,,,,,,,,,,,,,,,,,,,,P.2.2,,,,,,,"COMP:SG2.SP1 EF:SG2.SP1 EF:SG2.SP2",,,,,,,,,AR-1,,,,,,,,,,,,,,,,,,,,,,,"164.530 164.530(a) 164.530(a)(1) 164.530(a)(2)",,,,PM-19,,,,,,,,,,,,,,,,,,"6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II) 6-1-1308(6)",,,,,,,,,,,,,,,,,,,,,"Art 37.1 Art 38.1 Art 39.1 Art 39.2",,,Principle 2.7.a,,,,Art 6,,Art 32,"Sec 4d Sec 4f Sec 4g",,,,Sec 24,Sec 2,,"Sec 16 Sec 17",Sec 30,,,,,,Art 46,,Article 8.1,Art 23,,,,,,,,"Sec 55 Sec 56",,,"Sec 30 Sec 38",,,Sec 21,,,,,,,,,,,,,,,,,"Article 9 Article 52",,,,Article 21,,,,,,,Sec 11,,,Art 31,,Art 10,,,,"Art 6.8 Art 6.10",,,,"Art 7 Art 11","Art 17 Art 18",Art 11,,,Art 12,,,,x,,,,"R-AC-1 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-4",R-AC-1,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Privacy Act Statements,PRI-01.2,"Mechanisms exist to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.",,,"Does the organization provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested?",2,Identify,,X,,"There is no evidence of a capability to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.","SP-CMM1 is N/A, since a structured process is required to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide additional formal notice to individuals from whom the information is being collected that includes: ▪ Notice of the authority of organizations to collect Personal Data (PD); ▪ Whether providing Personal Data (PD) is mandatory or optional; ▪ The principal purpose or purposes for which the Personal Data (PD) is to be used; ▪ The intended disclosures or routine uses of the information; and ▪ The consequences of not providing all or some portion of the information requested.",P1.1,,,,,,,,,,,,10.2.3,,,,,,,,,,"8.5.1 8.5.2",,,,,,,,"CM.PO-P1 CM.AW-P1",,,,TR-2,,,,PT-5(2),PT-5(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.2.1,,,,,,,COMM:SG1.SP1,,,,,,,,,TR-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Chapter29-Schedule1-Part1-Principles 8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Dissemination of Data Privacy Program Information ,PRI-01.3,"Mechanisms exist to: ▪ Ensure that the public has access to information about organizational data privacy activities and can communicate with its Chief Privacy Officer (CPO) or similar role; ▪ Ensure that organizational data privacy practices are publicly available through organizational websites or otherwise; and ▪ Utilize publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to data privacy office(s) regarding data privacy practices.",,,"Does the organization: ▪ Ensure that the public has access to information about organizational data privacy activities and can communicate with its Chief Privacy Officer (CPO) or similar role; ▪ Ensure that organizational data privacy practices are publicly available through organizational websites or otherwise; and ▪ Utilize publicly facing email addresses and/or phone lines to enable the public to provide feedback and/or direct questions to data privacy office(s) regarding data privacy practices?",5,Identify,X,X,,"There is no evidence of a capability to: ▪ Ensure that the public has access to information about organizational data privacy activities and can communicate with its Chief Privacy Officer (CPO) or similar role; ▪ Ensure that organizational data privacy practices are publicly available through organizational websites or otherwise; and ▪ Utilize publicly facing email addresses and/ or phone lines to enable the public to provide feedback and/ or direct questions to data privacy offices regarding data privacy practices.","Privacy (PRI) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity. • Formal roles and responsibilities for data privacy may exist. • No formal data privacy principles are identified for the organization. • An ad hoc approach to Data Protection Impact Assessment (DPIA) exists. • Compliance efforts are not tied into an enterprise-wide cybersecurity and/ or data privacy program.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Privacy (PRI) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",P1.1,,,,,,,,,,,,"2.1.1 2.2.1 2.2.2 2.2.3 3.1.0 3.1.1 3.1.2 4.1.0 4.1.1 4.2.4 5.1.0 5.1.1 6.1.0 7.1.0 7.1.1 8.1.0 8.1.1 9.1.0 9.1.1 10.1.0 10.1.1",,,,,,,5.1,,,"7.3.3 8.5.1 8.5.6",,,,,,,,"GV.PO-P1 CM.PO-P1 CM.AW-P1",,,,TR-3,,,,PM-20,PM-20,,,,,,,,,,PM-20,,,PM-20,PM-20,,,,,,,,,,,,,,,,,,,,,,P.7.3,,,,,,,COMM:SG1.SP1,,,,,,,,,TR-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7001(w) 7002(a)(1) 7002(a)(2) 7002(b) 7002(b)(1) 7002(b)(2) 7002(b)(3) 7002(b)(4) 7002(b)(5) 7002(c)(1) 7002(c)(2) 7002(c)(3) 7010(a) 7010(b) 7010(e) 7011(a) 7011(b) 7011(c) 7011(d) 7011(e)(1) 7011(e)(1)(A) 7011(e)(1)(B) 7011(e)(1)(C) 7011(e)(1)(D) 7011(e)(1)(E) 7011(e)(1)(F) 7011(e)(1)(G) 7011(e)(1)(H) 7011(e)(1)(I) 7011(e)(1)(J) 7011(e)(1)(K) 7011(e)(2) 7011(e)(2)(A) 7011(e)(2)(B) 7011(e)(2)(C) 7011(e)(2)(D) 7011(e)(2)(E) 7011(e)(2)(F) 7011(e)(3) 7011(e)(3)(A) 7011(e)(3)(B) 7011(e)(3)(C) 7011(e)(3)(D) 7011(e)(3)(E) 7011(e)(3)(F) 7011(e)(3)(G) 7011(e)(3)(H) 7011(e)(3)(I) 7011(e)(3)(J) 7011(e)(4) 7011(e)(5) 7012(a) 7012(b) 7012(c) 7012(c)(1) 7012(c)(2) 7012(c)(3) 7012(c)(4) 7012(c)(5) 7012(d) 7012(e)(1) 7012(e)(2) 7012(e)(3) 7012(e)(4) 7012(e)(5) 7012(e)(6) 7012(f) 7012(g) 7012(g)(1) 7012(g)(2) 7012(g)(3)(A) 7012(g)(3)(B) 7012(g)(3)(C) 7012(h) 7012(i) 7102(a)(1)(A) 7102(a)(1)(B) 7102(a)(1)(C) 7102(a)(1)(D) 7102(a)(1)(E) 7102(a)(1)(F) 7102(a)(2) 7102(b)",,,,,,,,,,,,,,,,,,,,,,,,,,Principle 2.7.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 14(1)(a) Article 14(1)(b) Article 14(1)(c) Article 14(1)(d) Article 14(1)(e) Article 14(1)(f) Article 14(2)(a) Article 14(2)(b) Article 14(2)(c) Article 14(2)(d) Article 14(2)(e) Article 14(2)(f) Article 14(2)(g) Article 14(3)(a) Article 14(3)(b) Article 14(3)(c) Article 18(3)",,,,,APP 1,,,,,,,"Article 9 Article 48",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1 R-SA-2",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Protection Officer (DPO),PRI-01.4,"Mechanisms exist to appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.",,E-HRS-10,"Does the organization appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data?",7,Identify,X,X,,"There is no evidence of a capability to appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.","SP-CMM1 is N/A, since a structured process is required to appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • Administrative processes exist ensure the DPO is assigned based on the basis of professional qualities and is involved in all issues related to the protection of PD. • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • Administrative processes exist ensure the DPO is assigned based on the basis of professional qualities and is involved in all issues related to the protection of PD. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to appoint a Data Protection Officer (DPO): ▪ Based on the basis of professional qualities; and ▪ To be involved in all issues related to the protection of personal data.",,,,,,,,,,,,,,,,,,,,,,,8.5,5.10,,,,,,,"GV.PO-P5 CT.PO-P2 CM.PO-P2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.18,,9.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II) 6-1-1308(6)",,,,,,,,,,,,,,,,,,,,,"Art 35.2 Art 37.1 Art 37.2 Art 37.3 Art 37.4 Art 37.5 Art 37.6 Art 37.7 Art 38.1 Art 38.2 Art 38.3 Art 38.4 Art 38.5 Art 38.6 Art 39.1 Art 39.2",,,Principle 2.7.a,,,,,,,,,,,,,,,,"24(1) 24(1)(a) 24(1)(b) 24(1)(c) 24(2) 24(3) 24(4) 24(5) 24(6) 24(7)(a) 24(7)(b) 24(7)(c) 24(7)(d) 24(7)(e)",,,"4.1(2) 4.1(3)",,,,"Article 8.2 Article 10",,,,,,,"Article 44 Article 44.1 Article 44.2 Article 56 Article 56.1 Article 56.2 Article 56.3 Article 57 Article 58 Article 58.1 Article 58.2 Article 58.3 Article 58.4",,"Sec 17 Sec 55 Sec 56",,,,,,,,,,,"Article 24(1) Article 24(2) Article 24(3) Article 37(1)(a) Article 37(1)(b) Article 37(1)(c) Article 37(2) Article 37(3) Article 37(4) Article 37(5) Article 37(6) Article 37(7) Article 38(1) Article 38(2) Article 38(3) Article 38(4) Article 38(5) Article 38(6) Article 39(1)(a) Article 39(1)(b) Article 39(1)(c) Article 39(1)(d) Article 39(1)(e) Article 39(2)",,,,,,,,,,,,"Article 9 Article 52 Article 53",,,,,,,,,,,,,,,,,,,,"Art 6.8 Art 6.10 Art 41",,,Sec 6,,,,,,Art 12,,,,x,,,,"R-AC-1 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Binding Corporate Rules (BCR),PRI-01.5,"Mechanisms exist to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.",,E-PRI-05,"Does the organization implement and manage Binding Corporate Rules (BCR) (e?g?, data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data?",5,Identify,X,X,,"There is no evidence of a capability to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.","SP-CMM1 is N/A, since a structured process is required to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.","SP-CMM2 is N/A, since a well-defined process is required to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The organization implements and governs Binding Corporate Rules (BCR) to legally bind all parties engaged in a joint economic activity that expressly confers enforceable rights on data subjects with regard to the processing of PD.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement and manage Binding Corporate Rules (BCR) (e.g., data sharing agreement) to legally-bind all parties engaged in a joint economic activity that contractually states enforceable rights on data subjects with regard to the processing of their personal data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.6.2.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 3.10.a.i Principle 3.10.a.ii Principle 3.10.a.ii.1 Principle 3.10.a.ii.2 Principle 3.10.a.ii.3 Principle 3.10.a.iii Principle 3.10.b.i Principle 3.10.c.i",,,,,,,,,,,,,,,,,,,,,,,Article 15,,,,,,,"Article 65 Article 65.x Article 66 Article 67 Article 67.x",,,,,,,,,,,,,"Article 22(1)(a) Article 22(1)(b) Article 22(1)(c) Article 22(2)(a) Article 22(2)(b) Article 22(2)(c) Article 22(2)(d) Article 22(2)(e) Article 22(2)(f) Article 22(2)(g) Article 22(2)(h) Article 22(2)(i) Article 22(2)(j) Article 22(2)(k) Article 22(2)(l) Article 22(2)(m) Article 22(2)(n) Article 22(3)",,,,,,,,,,,,,,,,,,,,,"Principle 12 P12-(1) P12-(1)(a) P12-(1)(b) P12-(1)(c) P12-(1)(d) P12-(1)(e) P12-(1)(f) P12-(2) P12-(3)",,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Security of Personal Data,PRI-01.6,Mechanisms exist to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.,,,Does the organization ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD?,7,Protect,X,X,,There is no evidence of a capability to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.,"SP-CMM1 is N/A, since a structured process is required to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.","SP-CMM2 is N/A, since a well-defined process is required to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure Personal Data (PD) is protected by security safeguards that are sufficient and appropriately scoped to protect the confidentiality and integrity of the PD.",,P4.2-POF2,,,,,,,,,,,,,,,,,,5.34,,,,,,,,,,MAP 1.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.9.1,,,,,,,,12.9.1,,P.5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6-1-1305(2)(a) 6-1-1305(4) 6-1-1308(5)","Sec 15(e)(1) Sec 15(e)(2)",,"Sec 45(a) Sec 45(b) Sec 45(c) Sec 45(d)",,,,"Sec 4(2)(a) Sec 4(2)(b)(i) Sec 4(2)(b)(ii) Sec 4(2)(b)(ii)(A) Sec 4(2)(b)(ii)(A)(1) Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(A)(4) Sec 4(2)(b)(ii)(A)(5) Sec 4(2)(b)(ii)(A)(6) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(B)(3) Sec 4(2)(b)(ii)(B)(4) Sec 4(2)(b)(ii)(C)(1) Sec 4(2)(b)(ii)(C)(2) Sec 4(2)(b)(ii)(C)(3) Sec 4(2)(b)(ii)(C)(4) Sec 4(2)(c)",,,,,,,,,59.1-578.A.3,,,,,,,,Principle 2.4.a,,,,,,,,,,,,,,,,"29(f) 41(1) 41(1)(a) 41(1)(b) 41(2) 41(3)(a) 41(3)(b) 41(3)(c) 41(3)(d) 41(3)(e) 41(4)(a) 41(4)(b) 41(4)(c) 41(4)(d) 41(4)(e) 41(4)(f) 42(1)(a) 42(1)(b) 42(1)(c) 42(1)(d) 42(2)(a) 42(2)(b) 42(3) 42(4)",,,"2.1(1)(d) 2.6",,,,"Article 8.3 Article 13",,,,,,,"Article 5.6 Article 41 Article 42 Article 42.1 Article 42.2 Article 50 Article 50.1 Article 50.2 Article 50.3 Article 50.4 Article 51 Article 51.1 Article 51.2 Article 51.3 Article 51.4 Article 51.5 Article 51.6 Article 51.7 Article 51.8 Article 51.9 Article 51.10",,,,,,,,,,,,,,,,,,,,,,,,,"Article 9 Article 25 Article 28 Article 59",,,,"Article 20 Article 21",,,,,"Principle 5 P5-(a) P5-(a)(i) P5-(a)(ii) P5-(a)(iii) P5-(b)",,,,"14.1.1 14.1.2 14.1.3 14.1.4 14.1.5 14.1.6 14.1.7",,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Limiting Personal Data Disclosures,PRI-01.7,Mechanisms exist to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.,,,Does the organization limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained?,7,Protect,,X,,There is no evidence of a capability to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.,"SP-CMM1 is N/A, since a structured process is required to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.","SP-CMM2 is N/A, since a well-defined process is required to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies limit the disclosure of PD to authorized parties for purpose(s) in connection with obtaining the PD or directly related to the purpose(s) for which the PD was obtained.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit the disclosure of Personal Data (PD) to authorized parties for the sole purpose for which the PD was obtained.",,"P6.1-POF2 P6.1-POF3 P6.1-POF4 P6.4-POF1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.A.4,,,,,,,,,,,,,,,,,,,"Sec 15(d) Sec 15(d)(1) Sec 15(d)(2) Sec 15(d)(3) Sec 15(d)(4)","Sec 10(a)(1) Sec 10(a)(2) Sec 10(a)(3) Sec 10(a)(4) Sec 10(b)(1) Sec 10(c)(1) Sec 10(c)(2) Sec 10(c)(3) Sec 10(c)(4) Sec 10(c)(5) Sec 10(c)(6)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 33,,,,,,,,,,,,,,,,,,,,,,,,,"Article 20 Article 21 Article 22 Article 25 Article 41",,,,,,,,,"Principle 11 P11-(1) P11-(1)(a) P11-(1)(b) P11-(1)(c) P11-(1)(d) P11-(1)(e)(i) P11-(1)(e)(ii) P11-(1)(e)(iii) P11-(1)(e)(iv) P11-(1)(f)(i) P11-(1)(f)(ii) P11-(1)(g) P11-(1)(h)(i) P11-(1)(h)(ii) P11-(1)(i) P11-(2) Principle 12 P12-(1) P12-(1)(a) P12-(1)(b) P12-(1)(c) P12-(1)(d) P12-(1)(e) P12-(1)(f) P12-(2) P12-(3)",,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Privacy Notice,PRI-02,"Mechanisms exist to: ▪ Make data privacy notice(s) available to individuals upon first interacting with an organization and subsequently as necessary; ▪ Ensure that data privacy notices are clear and easy-to-understand, expressing information about Personal Data (PD) processing in plain language that meet all legal obligations; and ▪ Define the scope of PD processing activities, including the geographic locations and third-party recipients that process the PD within the scope of the data privacy notice.",,E-PRI-08,"Does the organization: ▪ Make data privacy notice(s) available to individuals upon first interacting with an organization and subsequently as necessary; ▪ Ensure that data privacy notices are clear and easy-to-understand, expressing information about Personal Data (PD) processing in plain language that meet all legal obligations; and ▪ Define the scope of PD processing activities, including the geographic locations and third-party recipients that process the PD within the scope of the data privacy notice?",7,Identify,,X,,"There is no evidence of a capability: ▪ Make data privacy notice(s) available to individuals up on first interacting with an organization and subsequently as necessary; ▪ Ensure that data privacy notices are clear and easy-to-understand, expressing information about Personal Data (PD) processing in plain language that meet all legal obligations; and ▪ Define the scope of PD processing activities, including the geographic locations and third-party recipients that process the PD within the scope of the data privacy notice.","Privacy (PRI) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity. • Formal roles and responsibilities for data privacy may exist. • No formal data privacy principles are identified for the organization. • An ad hoc approach to Data Protection Impact Assessment (DPIA) exists. ","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • The CPO, or similar role, develops and ensures data privacy notices are published that include relevant purpose, notice and data privacy program information. • Administrative processes and technologies present data subjects with a data privacy notice in plain language that describes how PD is collected, stored, processed, transmitted, shared and used by the organization.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The CPO, or similar role, develops and ensures data privacy notices are published that include relevant purpose, notice and data privacy program information. • Administrative processes and technologies present data subjects with a data privacy notice in plain language that describes how PD is collected, stored, processed, transmitted, shared and used by the organization.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Privacy (PRI) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",P1.1,"CC2.3-POF7 P1.1-POF1 P1.1-POF2 P1.1-POF3 P1.1-POF4",,,,,,,,DSP-14,,,"2.1.1 2.2.1 2.2.2 2.2.3 3.1.0 3.1.1 3.1.2 4.1.0 4.1.1 4.2.4 5.1.0 5.1.1 6.1.0 7.1.0 7.1.1 8.1.0 8.1.1 9.1.0 9.1.1 10.1.0 10.1.1 10.2.3",,,,,,,5.34,,"A.2.1 A.2.2","7.3 7.3.1 7.3.2 8.2.2 8.2.3 8.5.1 8.5.2 8.5.6","5.2 5.8",,,,,,,"CM.PO-P1 CM.AW-P1",,,,"TR-1 TR-2",,,,"PM-20(1) PT-5","PM-20(1) PT-5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.6.1.1,,9.2,,,,,COMM:SG1.SP1,,,,,,,,,"TR-1 TR-2",6502,,,,,,,,,,,,,,,,,§ 1232g,,,,,"164.520 164.520(a) 164.520(a)(1) 164.520(a)(2) 164.520(a)(3) 164.520(b) 164.520(c) 164.520(d) 164.520(e) 164.530(i)(3)",,,,,,,,,,"Principle 1 Principle 3",,,,,,,,,,"7001(w) 7002(a)(1) 7002(a)(2) 7002(b) 7002(b)(1) 7002(b)(2) 7002(b)(3) 7002(b)(4) 7002(b)(5) 7002(c)(1) 7002(c)(2) 7002(c)(3) 7010(a) 7010(b) 7010(e) 7011(a) 7011(b) 7011(c) 7011(d) 7011(e)(1) 7011(e)(1)(A) 7011(e)(1)(B) 7011(e)(1)(C) 7011(e)(1)(D) 7011(e)(1)(E) 7011(e)(1)(F) 7011(e)(1)(G) 7011(e)(1)(H) 7011(e)(1)(I) 7011(e)(1)(J) 7011(e)(1)(K) 7011(e)(2) 7011(e)(2)(A) 7011(e)(2)(B) 7011(e)(2)(C) 7011(e)(2)(D) 7011(e)(2)(E) 7011(e)(2)(F) 7011(e)(3) 7011(e)(3)(A) 7011(e)(3)(B) 7011(e)(3)(C) 7011(e)(3)(D) 7011(e)(3)(E) 7011(e)(3)(F) 7011(e)(3)(G) 7011(e)(3)(H) 7011(e)(3)(I) 7011(e)(3)(J) 7011(e)(4) 7011(e)(5) 7012(a) 7012(b) 7012(c) 7012(c)(1) 7012(c)(2) 7012(c)(3) 7012(c)(4) 7012(c)(5) 7012(d) 7012(e)(1) 7012(e)(2) 7012(e)(3) 7012(e)(4) 7012(e)(5) 7012(e)(6) 7012(f) 7012(g) 7012(g)(1) 7012(g)(2) 7012(g)(3)(A) 7012(g)(3)(B) 7012(g)(3)(C) 7012(h) 7012(i)",,"6-1-1305(2) 6-1-1308(1)(a) 6-1-1308(1)(a)(I) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(IV) 6-1-1308(1)(a)(V) 6-1-1308(1)(b) 6-1-105(1)(nnn)",Sec 15(a),,,,,,,,,,,,,,,"59.1-578.C 59.1-578.C.1 59.1-578.C.2 59.1-578.C.3 59.1-578.C.4 59.1-578.C.5 59.1-578.D 59.1-578.E",,,,,"Art 11.2 Art 12.1 Art 13.1 Art 13.2 Art 13.3 Art 14.1 Art 14.2 Art 14.3 Art 26.1 Art 26.2",,,"Principle 2.1.a.i Principle 2.1.a.ii Principle 2.1.a.iii Principle 2.1.a.iv Principle 2.1.a.v Principle 2.1.a.vi Principle 2.1.a.vii Principle 2.1.a.viii Principle 2.1.a.ix Principle 2.1.a.x Principle 2.1.a.xi Principle 2.1.a.xii Principle 2.1.a.xii Principle 2.1.b",,Art 9,"Art 5 Art 11 Art 16","Art 6 Art 31",,,"Sec 4 Sec 19",,,,,,,,"Sec 11 Sec 13 Sec 37","25(e) 26(a) 29(a) 29(b) 29(c) 29(d) 29(e) 29(f) 29(g) 29(h)",,"Sec 8 Sec 27","2.5 2.5(a) 2.5(b) 2.5(c) 2.5(d) 2.5(e) 2.5(f) 2.5(g) 2.5(h) 2.5(i) 3.1(1) 3.1(7)(a) 3.1(7)(b) 3.1(7)(c) 3.1(7)(d) 3.1(7)(e) 3.1(7)(f) 3.1(7)(g) 3.1(7)(h) 3.1(7)(i) 3.1(7)(j) 3.1(7)(k) 3.1(7)(l) 3.1(7)(m) 3.1(7)(n) 3.1(9) 3.1(9)(a) 3.1(9)(b) 3.1(9)(c) 3.1(9)(d) 3.1(9)(e)",Sec 31,Art 23,Art 5,"Article 6.1 Article 8.1 Article 9.1 Article 9.3 Article 9.4 Article 10 Article 17.1 Article 17.2 Article 17.3 Article 17.4 Article 17.5",Art 22,,,,,,"Article 5.1 Article 6.1 Article 12.2 Article 12.3 Article 12.4 Article 12.5 Article 12.6",,Sec 18,Art 8,,Sec 26,,Art 10,,,,,Chapter29-Schedule1-Part1-Principles 8,"Article 13(1)(a) Article 13(1)(b) Article 13(1)(c) Article 13(1)(d) Article 13(1)(e) Article 13(1)(f) Article 13(2)(a) Article 13(2)(b) Article 13(2)(c) Article 13(2)(d) Article 13(2)(e) Article 13(2)(f)",,,,APP Part 5,"APP 1 APP 5",,,,,,,"Article 7 Article 17 Article 17(1) Article 17(2) Article 17(3) Article 17(4) Article 27 Article 39 Article 48",,,,"Article 15(1) Article 15(2)",,Sec 7,,,"Principle 3 P3-(1) P3-(1)(a) P3-(1)(b) P3-(1)(c) P3-(1)(d) P3-(1)(d)(i) P3-(1)(d)(ii) P3-(1)(e) P3-(1)(e)(i) P3-(1)(e)(ii) P3-(1)(f) P3-(1)(g) P3-(2) P3-(3) P3-(4) P3-(4)(a) P3-(4)(b) P3-(4)(b)(i) P3-(4)(b)(ii) P3-(4)(b)(iii) P3-(4)(b)(iv) P3-(4)(c) P3-(4)(d) P3-(4)(e) P3-(4)(e)(i) P3-(4)(e)(ii)",,Sec 14,,,"Art 3 Art 4",Art 5,Art 6,,,,"Art 6.2 Art 6.6 Art 8",,,Principle 2,Art 5,Art 12,Art 5,"Art 7 Art 16 Art 17 Art 18",Art 7,"Art 5 Art 13",,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Purpose Specification,PRI-02.1,"Mechanisms exist to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.",,,"Does the organization identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices?",7,Identify,,X,,"There is no evidence of a capability to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.","SP-CMM1 is N/A, since a structured process is required to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes exist identify and document the purpose(s) for which PD is collected, used, maintained and shared in its data privacy notices.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist identify and document the purpose(s) for which PD is collected, used, maintained and shared in its data privacy notices.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document the purpose(s) for which Personal Data (PD) is collected, used, maintained and shared in its data privacy notices.",,"P1.1-POF1 P1.1-POF2 P1.1-POF3 P1.1-POF4 P6.7-POF1",,,,,,,,DSP-12,,,4.2.1,,,,,,18.1.4,5.34,18.1.4,,"7.2 7.2.1 8.2.2 8.5.1",5.3,,,,,,,CM.PO-P1,,,,AP-2,,,,PT-3,PT-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.6.1.1,,,,,,,COMP:SG2.SP1,,,,,,,,,AP-2,,,,,,,,,,,,,,,,,,§ 1232g,,,,,,,,,,,,,,,,,,,,,,,,,"7002(a)(1) 7002(a)(2) 7002(b) 7002(b)(1) 7002(b)(2) 7002(b)(3) 7002(b)(4) 7002(b)(5) 7002(c)(1) 7002(c)(2) 7002(c)(3)",,"6-1-1308(1)(a) 6-1-1308(1)(a)(I) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(II) 6-1-1308(1)(a)(IV) 6-1-1308(1)(a)(V) 6-1-1308(1)(b) 6-1-1308(2) 6-1-105(1)(nnn)","Sec 15(b)(1) Sec 15(b)(2)",,,,,,,,,,,,,,,"59.1-578.D 59.1-578.E",,,,,"Art 13.1 Art 14.1 Art 14.2",,,"Principle 2.1.a.i Principle 2.1.a.ii Principle 2.1.a.iii Principle 2.1.a.iv Principle 2.1.a.v Principle 2.1.a.vi Principle 2.1.a.vii Principle 2.1.a.viii Principle 2.1.a.ix Principle 2.1.a.x Principle 2.1.a.xi Principle 2.1.a.xii Principle 2.1.a.xii Principle 2.1.b",Sec 6,Art 4-7,Art 5,,,Art 7,,,,,,Sec 2,,Sec 8,Sec 13,29(c),,,2.3(1),Sec 32,Art 23,Art 5,"Article 6.1 Article 8.1 Article 10",Art 5,,,,,,"Article 5.1 Article 6.1 Article 12.2 Article 12.3 Article 12.4 Article 12.5 Article 12.6",,"Sec 13 Sec 18",,,Sec 26,,Art 10,,,,,,"Article 5(1)(c) Article 6(1)(a) Article 6(1)(b) Article 6(1)(c) Article 6(1)(d) Article 6(1)(e) Article 6(1)(f) ",,,,APP Part 3,APP 1,,,,,,,"Article 6 Article 48",Principle 1,,,"Article 15(1) Article 15(2)",18.1.4,,,,"Principle 3 P3-(1) P3-(1)(a) P3-(1)(b) P3-(1)(c) P3-(1)(d) P3-(1)(d)(i) P3-(1)(d)(ii) P3-(1)(e) P3-(1)(e)(i) P3-(1)(e)(ii) P3-(1)(f) P3-(1)(g) P3-(2) P3-(3) P3-(4) P3-(4)(a) P3-(4)(b) P3-(4)(b)(i) P3-(4)(b)(ii) P3-(4)(b)(iii) P3-(4)(b)(iv) P3-(4)(c) P3-(4)(d) P3-(4)(e) P3-(4)(e)(i) P3-(4)(e)(ii)",Sec 19,"Sec 14 Sec 19 Sec 20",,,"Art 3 Art 4","Art 5 Art 19",Art 6,"Art 6 Art 27.1 Art 27.2 Art 28.1",Sec 6,,"Art 6.1 Art 6.3",,,"Sec 5 Principle 2",Art 5,Art 4,,"Art 7 Art 16 Art 17 Art 18",Art 6,"Art 5 Art 8",,,,x,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Automated Data Management Processes,PRI-02.2,"Automated mechanisms exist to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/or disclosed, based on updated data subject authorization(s).","The organization should identify and address obligations, including legal obligations, to the PD principals resulting from decisions made by the organization which are related to the PD principal based solely on automated processing of PD.",,"Does the organization use automated mechanisms to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/or disclosed, based on updated data subject authorization(s)?",1,Identify,,X,X,"There is no evidence of a capability to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).","SP-CMM1 is N/A, since a structured process is required to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).","SP-CMM2 is N/A, since a well-defined process is required to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to adjust data that is able to be collected, created, used, disseminated, maintained, retained and/ or disclosed, based on updated data subject authorization(s).",,,,,,,,,,,,,,,,,,,,,,,7.3.10,,,,,,,,CT.DM-P7,,,,,,,,"PM-24 PT-2(2) PT-3(2)",PM-24,,,,"PT-2(2) PT-3(2)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.6.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 14.2 Art 22.1 Art 22.2 Art 22.3 Art 22.4",,,,,,,,,,,,,,,,,,,"35(1) 35(2) 35(2)(a) 35(2)(b) 35(2)(c) 35(3) 35(3)(a) 35(3)(b)(i) 35(3)(b)(ii) 35(4)(a) 35(4)(b) 35(4)(c)(i) 35(4)(c)(ii)",,,,,,,,,,,,,,"Article 38 Article 38.1 Article 38.2 Article 38.3 Article 39",,"Sec 5 Sec 71",,,,,,,,,,,"Article 22(1) Article 22(2)(a) Article 22(2)(b) Article 22(2)(c) Article 22(3) Article 22(4)",,,,,,,,,,,,Article 24,,,,,,,,,,,,,,,Art 5,,,,,,,,,,,,Art 7,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Data Privacy,Computer Matching Agreements (CMA) ,PRI-02.3,Mechanisms exist to publish Computer Matching Agreements (CMA) on the public website of the organization.,,,Does the organization publish Computer Matching Agreements (CMA) on the public website of the organization?,1,Identify,,X,X,There is no evidence of a capability to publish Computer Matching Agreements (CMA) on the public website of the organization.,"SP-CMM1 is N/A, since a structured process is required to publish Computer Matching Agreements (CMA) on the public website of the organization.","SP-CMM2 is N/A, since a well-defined process is required to publish Computer Matching Agreements (CMA) on the public website of the organization.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to publish Computer Matching Agreements (CMA) on the public website of the organization.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DI-2(1),,,,"PM-24 PT-8","PM-24 PT-8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.2.2,,,,,,,,,,,,,,,,DI-2(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,System of Records Notice (SORN),PRI-02.4,"Mechanisms exist to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.",,,"Does the organization draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance?",1,Identify,,X,X,"There is no evidence of a capability to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.","SP-CMM1 is N/A, since a structured process is required to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies use a System of Records Notices (SORN), or similar record of processing activities, to maintain a record of processing PD under the organization's responsibility.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies use a System of Records Notices (SORN), or similar record of processing activities, to maintain a record of processing PD under the organization's responsibility.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to draft, publish and keep System of Records Notices (SORN) updated in accordance with regulatory guidance.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TR-2(1),,,,PT-6,PT-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.7.6,,,,,,,,,,,,,,,,TR-2(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,System of Records Notice (SORN) Review Process,PRI-02.5,Mechanisms exist to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.,,,Does the organization review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected?,1,Identify,,X,,There is no evidence of a capability to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.,"SP-CMM1 is N/A, since a structured process is required to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review all routine uses of data published in the System of Records Notices (SORN) to ensure continued accuracy and to ensure that routine uses continue to be compatible with the purpose for which the information was collected.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PT-6(1),PT-6(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,L.7.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Privacy Act Exemptions,PRI-02.6,Mechanisms exist to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.,,,Does the organization review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate?,1,Identify,,X,,There is no evidence of a capability to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.,"SP-CMM1 is N/A, since a structured process is required to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to review all Privacy Act exemptions claimed for the System of Records Notices (SORN) to ensure they remain appropriate and accurate.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PT-6(2),PT-6(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.2.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Real-Time or Layered Notice,PRI-02.7,Mechanisms exist to provide real-time and/or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.,,,Does the organization provide real-time and/or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice?,2,Identify,,,X,There is no evidence of a capability to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.,"SP-CMM1 is N/A, since a structured process is required to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.","SP-CMM2 is N/A, since a well-defined process is required to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide real-time and/ or layered notice when Personal Data (PD) is collected that provides data subjects with a summary of key points or more detailed information that is specific to the organization's data privacy notice.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TR-1(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TR-1(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Choice & Consent,PRI-03,"Mechanisms exist to authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization. ","- ""opt in"" vs ""opt out"" user selections",,"Does the organization authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization? ",7,Identify,,X,,"There is no evidence of a capability to authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization. ","SP-CMM1 is N/A, since a structured process is required to authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization. ","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to authorize the processing of their Personal Data (PD) prior to its collection that: ▪ Uses plain language and provide examples to illustrate the potential data privacy risks of the authorization; and ▪ Provides a means for users to decline the authorization. ","P2.0 P2.1 P3.2","P2.1-POF1 P2.1-POF2 P2.1-POF3 P2.1-POF6 P3.2-POF2",,,,,,,,,,,"3.2.1 3.2.2 3.2.3 3.2.4",,,,,,18.1.4,5.33,18.1.4,A.1.1,"7.2.3 7.2.4 7.3.4 7.3.5 8.5.7",5.2,,,,,,,"CT.PO-P1 CT.PO-P3",,,,IP-1,,,,PT-4,PT-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.6.1.1,,,,,,,"EF:SG1.SP2 KIM:SG2.SP1 OTA:SG1.SP2",,,,,,,,,IP-1,,,,,,,,,,,,,,,,,,§ 1232g,,,,,,,,,,,,,,,Principle 2,,,,,,,,,,"7002(e) 7002(f) 7004(a) 7004(a)(1) 7004(a)(2) 7004(a)(2)(a) 7004(a)(2)(b) 7004(a)(2)(c) 7004(a)(3) 7004(a)(3)(a) 7004(a)(3)(b) 7004(a)(3)(c) 7004(a)(4) 7004(a)(4)(a) 7004(a)(4)(b) 7004(a)(5) 7004(a)(5)(a) 7004(a)(5)(b) 7004(a)(5)(c) 7004(b) 7004(c) 7010(c) 7028(a) 7028(b)",,"6-1-1306(1) 6-1-1306(1)(a)(I)(A) 6-1-1306(1)(a)(I)(B) 6-1-1306(1)(a)(I)(C) 6-1-1306(1)(a)(II) 6-1-1306(1)(a)(III) 6-1-1306(1)(a)(IV)(A) 6-1-1306(1)(a)(IV)(B) 6-1-1306(1)(a)(IV)(C)",Sec 15(b)(3),,,,,,,,,,,,,,,"59.1-577.A.5 59.1-577.A.5(i) 59.1-577.A.5(ii) 59.1-577.A.5(iii)",,,,"Art 8 Art 9","Art 6.1 Art 7.1 Art 7.2 Art 7.3 Art 7.4 Art 8.1 Art 8.2 Art 12.6 Art 14.3",,,"Principle 2.2.a(i) Principle 2.2.a(ii) Principle 2.2.b Principle 2.2.c Principle 2.2.c(i) Principle 2.2.c(ii)",Sec 8,Art 4-7,Art 5,,,Art 7,"Sec 4a Sec 11",,,Art 5,Sec 6,Sec 2,,,"Sec 23 Sec 24","32(1) 32(4)",,Sec 8,"2.2(a) 2.3(2) 2.3(2)(a) 2.3(2)(b) 2.3(2)(c) 2.3(2)(d) 2.3(2)(e)",,Art 23,Art 6,"Article 4 Article 5.2 Article 10","Art 6 Art 9",,,,,,"Article 12.1 Article 15 Article 31 Article 31.1 Article 31.2 Article 31.3 Article 31.4",,Sec 11,"Art 8 Art 12",,Sec 10,,Art 10,Sec 9,,,,,"Article 6(1)(a) Article 7(1) Article 7(2) Article 7(3) Article 7(4) Article 8(1) Article 8(2) Article 8(3)",,,,APP Part 3,APP 3,,,,,,,"Article 13(1) Article 14 Article 23 Article 27 Article 29 Article 30 Article 44",,Sec 5,,"Article 16(1) Article 16(3)(i) Article 16(3)(ii) Article 16(3)(iii) Article 16(3)(iv) Article 24(1) Article 24(2)",18.1.4,Sec 7,,,,Sec 19,Sec 13,,,"Art 3 Art 4 Art 22",Art 5,Art 5,"Art 5.1 Art 5.2",,,"Art 7.1 Art 15",,,"Sec 6 Sec 7 Principle 3",Art 4,Art 4,Art 5,"Art 8 Art 10","Art 5 Art 13 Art 14","Art 5 Art 9 Art 13",,,,x,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Tailored Consent,PRI-03.1,Mechanisms exist to allow data subjects to modify the use permissions to selected attributes of their Personal Data (PD).,,,Does the organization allow data subjects to modify the use permissions to selected attributes of their Personal Data (PD)?,1,Identify,,X,,There is no evidence of a capability to allow data subjects to modify the use permissions to selected attributes of their Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to allow data subjects to modify the use permissions to selected attributes of their Personal Data (PD).","SP-CMM2 is N/A, since a well-defined process is required to allow data subjects to modify the use permissions to selected attributes of their Personal Data (PD).","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to allow data subjects to modify the use permissions to selected attributes of their Personal Data (PD).",,"P2.1-POF5 P3.2-POF1",,,,,,,,,,,,,,,,,,,,,7.3.4,,,,,,,,CT.PO-P3,,,,IP-(1),,,,PT-4(1),,,,,PT-4(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.4.3,,,,,,,,,,,,,,,,IP-(1),6502,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7014(a) 7014(b) 7014(c) 7014(d) 7014(e) 7014(e)(1) 7014(e)(2) 7014(f)(1) 7014(f)(2) 7014(g)(1) 7014(g)(2) 7014(h)",,"6-1-1306(1) 6-1-1306(1)(a)(I)(A) 6-1-1306(1)(a)(I)(B) 6-1-1306(1)(a)(I)(C) 6-1-1306(1)(a)(II) 6-1-1306(1)(a)(III) 6-1-1306(1)(a)(IV)(A) 6-1-1306(1)(a)(IV)(B) 6-1-1306(1)(a)(IV)(C)",,,,,,,,,,,,,,,,,,,,"Art 8 Art 10","Art 7.1 Art 7.2 Art 7.3 Art 7.4 Art 12.2 Art 12.3 Art 12.4 Art 22.1 Art 22.2 Art 22.3 Art 22.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 31 Article 31.1 Article 31.2 Article 31.3 Article 31.4",,Sec 11,,,,,,,,,,,"Article 7(3) Article 18(1)(a) Article 18(1)(b) Article 18(1)(c) Article 18(1)(d)",,,,,,,,,,,,,,,,,,,,,,,,,,,Art 5,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Just-In-Time Notice & Updated Consent,PRI-03.2,"Mechanisms exist to present authorizations to process Personal Data (PD) in conjunction with the data action, when: ▪ The original circumstances under which an individual gave consent have changed; or ▪ A significant amount of time has passed since an individual gave consent.",,,"Does the organization present authorizations to process Personal Data (PD) in conjunction with the data action, when: ▪ The original circumstances under which an individual gave consent have changed; or ▪ A significant amount of time has passed since an individual gave consent?",1,Identify,,X,,"There is no evidence of a capability to present authorizations to process Personal Data (PD) in conjunction with the data action, when: ▪ The original circumstances under which an individual gave consent have changed; or ▪ A significant amount of time has passed since an individual gave consent.","SP-CMM1 is N/A, since a structured process is required to present authorizations to process Personal Data (PD) in conjunction with the data action, when: ▪ The original circumstances under which an individual gave consent have changed; or ▪ A significant amount of time has passed since an individual gave consent.","SP-CMM2 is N/A, since a well-defined process is required to present authorizations to process Personal Data (PD) in conjunction with the data action, when: ▪ The original circumstances under which an individual gave consent have changed; or ▪ A significant amount of time has passed since an individual gave consent.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to present authorizations to process Personal Data (PD) in conjunction with the data action, when: ▪ The original circumstances under which an individual gave consent have changed; or ▪ A significant amount of time has passed since an individual gave consent.","P2.1 P3.2",P2.1-POF4,,,,,,,,,,,,,,,,,,,,,7.3.4,,,,,,,,"CT.PO-P1 CT.PO-P3",,,,,,,,"PT-4(2) PT-5(1)",,,,,"PT-4(2) PT-5(1)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 2,,,,,,,,,,"7002(f) 7028(a) 7028(b)",,"6-1-1306(1) 6-1-1306(1)(a)(I)(A) 6-1-1306(1)(a)(I)(B) 6-1-1306(1)(a)(I)(C) 6-1-1306(1)(a)(II) 6-1-1306(1)(a)(III) 6-1-1306(1)(a)(IV)(A) 6-1-1306(1)(a)(IV)(B) 6-1-1306(1)(a)(IV)(C)",,,,,,,,,,,,,,,,,,,,,"Art 7.1 Art 7.2 Art 7.3 Art 7.4 Art 8.1 Art 8.2 Art 12.2 Art 12.3 Art 12.4 Art 13.3 Art 14.3 Art 21.4",,,,Sec 8,,Art 16,,,,,,,,,,,,,"32(2) 32(3)",,,,,,,,,,,,,,,,Sec 15,,,,,,,,,,,"Article 7(1) Article 13(3) Article 21(1) Article 21(2) Article 21(3) Article 21(4) Article 21(5) Article 21(6)",,,,,APP 5,,,,,,,"Article 14 Article 22 Article 23 Article 27",,,,"Article 16(2) Article 16(3)(i) Article 16(3)(ii) Article 16(3)(iii) Article 16(3)(iv)",,,,,,,,,,Art 22,Art 5,Art 5,Art 27.3,,,,,,"Sec 6 Sec 7 Principle 3",,,,Art 7,,"Art 5 Art 9",,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Prohibition Of Selling or Sharing Personal Data,PRI-03.3,Mechanisms exist to prevent the sale or sharing of Personal Data (PD) when instructed by the data subject.,,,Does the organization prevent the sale or sharing of Personal Data (PD) when instructed by the data subject?,5,Identify,,X,,There is no evidence of a capability to prevent the sale or sharing of Personal Data (PD) when instructed by the data subject.,"SP-CMM1 is N/A, since a structured process is required to prevent the sale or sharing of Personal Data (PD) when instructed by the data subject.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies collect, store, processes, transmit share or use PD only for the purposes identified in the data privacy notice. • The DPO reviews the management of PD to ensure that controls exist to prohibit the sale of PD when instructed by the data principle.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies collect, store, processes, transmit share or use PD only for the purposes identified in the data privacy notice. • The DPO reviews the management of PD to ensure that controls exist to prohibit the sale of PD when instructed by the data principle.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the sale or sharing of Personal Data (PD) when instructed by the data subject.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the sale or sharing of Personal Data (PD) when instructed by the data subject.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CT.PO-P1 CT.PO-P3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.6.1.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7010(d) 7013(a) 7013(b) 7013(c) 7013(d) 7013(e) 7013(e)(1) 7013(e)(2) 7013(e)(3) 7013(e)(3)(A) 7013(e)(3)(B) 7013(f)(1) 7013(f)(2) 7013(g)(1) 7013(g)(1) 7013(h) 7026(a) 7026(a)(1) 7026(a)(2) 7026(a)(3) 7026(a)(4) 7026(b) 7026(c) 7026(d) 7026(e) 7026(f)(1) 7026(f)(2) 7026(g) 7026(h) 7026(i) 7026(j) 7026(k)",,"6-1-1306(1) 6-1-1306(1)(a)(I)(A) 6-1-1306(1)(a)(I)(B) 6-1-1306(1)(a)(I)(C) 6-1-1306(1)(a)(II) 6-1-1306(1)(a)(III) 6-1-1306(1)(a)(IV)(A) 6-1-1306(1)(a)(IV)(B) 6-1-1306(1)(a)(IV)(C)",Sec 15(c),,,,Sec 2.3,,,,,,,,,,,"59.1-577.A.5(ii) 59.1-578.D",,,,,,,,"Principle 2.2.c Principle 2.2.c(i) Principle 2.2.c(ii)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 37,,,,,,,,,,,,,,,,,,APP 7,,,,,,,Article 10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Revoke Consent,PRI-03.4,Mechanisms exist to allow data subjects to revoke consent to the processing of their Personal Data (PD).,,,Does the organization allow data subjects to revoke consent to the processing of their Personal Data (PD)?,3,Respond,,X,,There is no evidence of a capability to allow data subjects to revoke consent to the processing of their Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to allow data subjects to revoke consent to the processing of their Personal Data (PD).","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to allow data subjects to revoke consent to the processing of their Personal Data (PD).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to allow data subjects to revoke consent to the processing of their Personal Data (PD).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PT-4(3),,,,,PT-4(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7015(a) 7015(b) 7015(c)(1) 7015(c)(2)",,"6-1-1306(1) 6-1-1306(1)(a)(I)(A) 6-1-1306(1)(a)(I)(B) 6-1-1306(1)(a)(I)(C) 6-1-1306(1)(a)(II) 6-1-1306(1)(a)(III)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"26(c) 32(2) 32(3)",,,"2.8 2.8(a) 2.8(b)",,,,Article 5.1,,,,,,,"Article 15 Article 37",,,,,,,,,,,,,"Article 7(3) Article 21(1) Article 21(2) Article 21(3) Article 21(4) Article 21(5) Article 21(6)",,,,,,,,,,,,Article 15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Product or Service Delivery Restrictions,PRI-03.5,Mechanisms exist to prohibit the refusal of products and/or services on the grounds that a data subject does not agree to the processing of Personal Data (PD) or withdraws consent.,- Privacy Program,,Does the organization prohibit the refusal of products and/or services on the grounds that a data subject does not agree to the processing of Personal Data (PD) or withdraws consent?,7,Identify,,X,X,There is no evidence of a capability to prohibit the refusal of products and/ or services on the grounds that a data subject does not agree to the processing of Personal Data (PD) or withdraws consent.,"SP-CMM1 is N/A, since a structured process is required to prohibit the refusal of products and/ or services on the grounds that a data subject does not agree to the processing of Personal Data (PD) or withdraws consent.","SP-CMM2 is N/A, since a well-defined process is required to prohibit the refusal of products and/ or services on the grounds that a data subject does not agree to the processing of Personal Data (PD) or withdraws consent.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The PMO and DPO work with data/process owners to prohibit the refusal of products and/ or services on the grounds that a data subject does not agree to the processing of PD or withdraws consent.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prohibit the refusal of products and/ or services on the grounds that a data subject does not agree to the processing of Personal Data (PD) or withdraws consent.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prohibit the refusal of products and/ or services on the grounds that a data subject does not agree to the processing of Personal Data (PD) or withdraws consent.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7016(a) 7016(b) 7016(c) 7016(d) 7016(d)(1) 7016(d)(2) 7016(d)(3) 7016(d)(4) 7016(d)(5) 7016(d)(5)(A) 7016(d)(5)(B) 7080(a) 7080(b) 7080(c) 7080(d)(1) 7080(d)(2) 7080(d)(3) 7080(d)(4) 7080(e) 7080(f) 7080(g)",,6-1-1308(1)(d),,Sec 10(b)(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,32(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Authorized Agent,PRI-03.6,"Mechanisms exist to allow data subjects to authorize another person or entity, acting on the data subject's behalf, to make Personal Data (PD) processing decisions.",,,"Does the organization allow data subjects to authorize another person or entity, acting on the data subject's behalf, to make Personal Data (PD) processing decisions?",6,Protect,,,X,"There is no evidence of a capability to allow data subjects to authorize another pers on or entity, acting on the data subject's behalf, to make Personal Data (PD) processing decisions.","SP-CMM1 is N/A, since a structured process is required to allow data subjects to authorize another pers on or entity, acting on the data subject's behalf, to make Personal Data (PD) processing decisions.","SP-CMM2 is N/A, since a well-defined process is required to allow data subjects to authorize another pers on or entity, acting on the data subject's behalf, to make Personal Data (PD) processing decisions.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to allow data subjects to authorize another pers on or entity, acting on the data subject's behalf, to make Personal Data (PD) processing decisions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to allow data subjects to authorize another pers on or entity, acting on the data subject's behalf, to make Personal Data (PD) processing decisions.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7063(a) 7063(a)(1) 7063(a)(2) 7063(b) 7063(c) 7063(d)",,6-1-1306(1)(a)(II),Sec 15(b)(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"27(a) 27(b) 27(c)",,,,,,,"Article 17.1 Article 17.2 Article 17.3 Article 17.4 Article 17.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 16(3)(i) Article 16(3)(ii) Article 16(3)(iii) Article 16(3)(iv)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-GV-1 R-GV-5",,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,,,,R-GV-5,,,,,,,,,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Active Participation By Data Subjects,PRI-03.7,"Mechanisms exist to compel data subjects to select the level of consent deemed appropriate by the data subject for the relevant business purpose (e.g., opt-in, opt-out, accept all cookies, etc.).",,,"Does the organization compel data subjects to select the level of consent deemed appropriate by the data subject for the relevant business purpose (e?g?, opt-in, opt-out, accept all cookies, etc?)?",3,Protect,,,X,"There is no evidence of a capability to compel data subjects to select the level of consent deemed appropriate by the data subject for the relevant business purpose (e.g., opt-in, opt-out, accept all cookies, etc.).","SP-CMM1 is N/A, since a structured process is required to compel data subjects to select the level of consent deemed appropriate by the data subject for the relevant business purpose (e.g., opt-in, opt-out, accept all cookies, etc.).","SP-CMM2 is N/A, since a well-defined process is required to compel data subjects to select the level of consent deemed appropriate by the data subject for the relevant business purpose (e.g., opt-in, opt-out, accept all cookies, etc.).","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel data subjects to select the level of consent deemed appropriate by the data subject for the relevant business purpose (e.g., opt-in, opt-out, accept all cookies, etc.).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel data subjects to select the level of consent deemed appropriate by the data subject for the relevant business purpose (e.g., opt-in, opt-out, accept all cookies, etc.).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7004(a)(2) 7004(a)(2)(a) 7004(a)(2)(b) 7004(a)(2)(c) 7004(a)(4) 7004(a)(4)(a) 7004(a)(4)(b) 7004(a)(5) 7004(a)(5)(a) 7004(a)(5)(b) 7004(a)(5)(c) 7010(d) 7015(a) 7015(b) 7015(c)(1) 7015(c)(2)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"26(a) 26(c)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Global Privacy Control (GPC),PRI-03.8,"Automated mechanisms exist to provide data subjects with functionality to exercise pre-selected opt-out preferences (e.g., opt-out signal).",,,"Does the organization use automated mechanisms to provide data subjects with functionality to exercise pre-selected opt-out preferences (e?g?, opt-out signal)?",5,Protect,,,X,"There is no evidence of a capability to provide data subjects with functionality to exercise pre-selected opt-out preferences (e.g., opt-out signal).","SP-CMM1 is N/A, since a structured process is required to provide data subjects with functionality to exercise pre-selected opt-out preferences (e.g., opt-out signal).","SP-CMM2 is N/A, since a well-defined process is required to provide data subjects with functionality to exercise pre-selected opt-out preferences (e.g., opt-out signal).","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide data subjects with functionality to exercise pre-selected opt-out preferences (e.g., opt-out signal).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide data subjects with functionality to exercise pre-selected opt-out preferences (e.g., opt-out signal).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7025(a) 7025(b)(1) 7025(b)(2) 7025(c)(1) 7025(c)(2) 7025(c)(3) 7025(c)(4) 7025(c)(5) 7025(c)(6) 7025(c)(7)(A) 7025(c)(7)(B) 7025(c)(7)(C) 7025(c)(7)(D) 7025(c)(7)(E) 7025(d) 7025(e) 7025(f)(1) 7025(f)(2) 7025(f)(3) 7025(g)(1) 7025(g)(2)(A) 7025(g)(2)(B) 7025(g)(2)(C) 7025(g)(2)(D) 7025(g)(3) 7025(g)(3)(A) 7025(g)(3)(B)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Data Privacy,Restrict Collection To Identified Purpose,PRI-04,"Mechanisms exist to collect Personal Data (PD) only for the purposes identified in the data privacy notice and includes protections against collecting PD from minors without appropriate parental, or legal guardian, consent.",,E-PRI-02,"Does the organization collect Personal Data (PD) only for the purposes identified in the data privacy notice and includes protections against collecting PD from minors without appropriate parental, or legal guardian, consent?",7,Identify,,X,,"There is no evidence of a capability to collect Personal Data (PD) only for the purposes identified in the data privacy notice and includes protections against collecting PD from minors without appropriate parental, or legal guardian, consent.","SP-CMM1 is N/A, since a structured process is required to collect Personal Data (PD) only for the purposes identified in the data privacy notice and includes protections against collecting PD from minors without appropriate parental, or legal guardian, consent.","SP-CMM2 is N/A, since a well-defined process is required to collect Personal Data (PD)only for the purposes identified in the data privacy notice and includes protections against collecting PD from minors without appropriate parental, or legal guardian, consent.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to collect Personal Data (PD) only for the purposes identified in the data privacy notice and includes protections against collecting PD from minors without appropriate parental, or legal guardian, consent.","P3.0 P3.1","P3.1-POF1 P3.1-POF2 P3.1-POF3 P3.1-POF4",,,,,,,,,,,"4.1.2 9.2.2",,,,,,18.1.4,5.33,18.1.4,A.3,"7.2.2 7.3.1 7.3.2 7.4.1 8.2.1",5.4,,,,,,,,,,,AP-1,,,,PT-2,PT-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.1,,,,,,,COMP:SG2.SP1,,,,,,,,,AP-1,,,,,,,,,,,,,,,,,,,,,,,,,,,PT-2,,,,,,,,,,,,,,45.48.410,,"7010(d) 7070(a) 7070(a)(1) 7070(a)(2)(A) 7070(a)(2)(B) 7070(a)(2)(C) 7070(a)(2)(D) 7070(a)(2)(E) 7070(a)(2)(F) 7070(b) 7070(c) 7071(a) 7071(b) 7072(a) 7072(b)",,6-1-1305(2),Sec 15(b),"Sec 10(b)(1) Sec 10(b)(3)",,,,,,,,,,,,,,59.1-578.A.1,"§ 2433(a)(1) § 2433(a)(2)",,,"Art 5 Art 8",Art 5.1,,,Principle 2.5.a,Sec 6,Art 4-7,Art 9,Art 6,"Sec 6 Sec 7",Art 7,Sec 4,,,Art 4,"Sec 4 Sec 5",Sec 2,,,Sec 11,"25(c) 25(d) 27(a) 28(2)(a) 28(2)(b) 28(2)(c) 28(2)(d) 28(2)(e) 28(2)(f) 28(2)(f)(i) 28(2)(f)(ii) 28(2)(f)(iii) 28(3)",,Sec 8,,,Art 23,Art 5,"Article 9.1 Article 10 Article 17.1 Article 17.2 Article 17.3 Article 17.4 Article 17.5",Art 5,,,,,,"Article 5.1 Article 5.2 Article 6.1 Article 6.2 Article 6.3 Article 6.4 Article 6.5 Article 16",,"Sec 5 Sec 11 Sec 69",Art 8,,Sec 10,Art 4,Art 10,Sec 9,,,,,"Article 5(1)(b) Article 12(1)",,,,APP Part 3,APP 3,,,,,,,"Article 26 Article 31",,Sec 5,,Article 17(1),18.1.4,,,,"Principle 1 P1-(1)(a) P1-(1)(b) Principle 3 P3-(1) P3-(1)(a) P3-(1)(b) P3-(1)(c) P3-(1)(d) P3-(1)(d)(i) P3-(1)(d)(ii) P3-(1)(e) P3-(1)(e)(i) P3-(1)(e)(ii) P3-(1)(f) P3-(1)(g) P3-(2) P3-(3) P3-(4) P3-(4)(a) P3-(4)(b) P3-(4)(b)(i) P3-(4)(b)(ii) P3-(4)(b)(iii) P3-(4)(b)(iv) P3-(4)(c) P3-(4)(d) P3-(4)(e) P3-(4)(e)(i) P3-(4)(e)(ii) Principle 4 P4-(a) P4-(b) P4-(b)(i) P4-(b)(ii)",Sec 19,Sec 17,,,"Art 3 Art 15 Art 22","Art 5 Art 19",Art 5,"Art 4.1 Art 4.2 Art 6",Sec 6,,Art 6.2,,,"Sec 5 Principle 4",,Art 4,Art 6,Art 7,"Art 4 Art 14",,,,,x,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,"Authority To Collect, Use, Maintain & Share Personal Data",PRI-04.1,"Mechanisms exist to determine and document the legal authority that permits the collection, use, maintenance and sharing of Personal Data (PD), either generally or in support of a specific program or system need.",,E-PRI-02,"Does the organization determine and document the legal authority that permits the collection, use, maintenance and sharing of Personal Data (PD), either generally or in support of a specific program or system need?",7,Identify,,X,,"There is no evidence of a capability to determine and document the legal authority that permits the collection, use, maintenance and sharing of Personal Data (PD), either generally or in support of a specific program or system need.","SP-CMM1 is N/A, since a structured process is required to determine and document the legal authority that permits the collection, use, maintenance and sharing of Personal Data (PD), either generally or in support of a specific program or system need.","SP-CMM2 is N/A, since a well-defined process is required to determine and document the legal authority that permits the collection, use, maintenance and sharing of Personal Data (PD), either generally or in support of a specific program or system need.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies collect, store, processes, transmit share or use PD only for the purposes identified in the data privacy notice. ","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine and document the legal authority that permits the collection, use, maintenance and sharing of Personal Data (PD), either generally or in support of a specific program or system need.",P3.1,P6.7-POF1,,,,,,,,DSP-12,,,"1.2.5 1.2.11 4.2.2",,,,,,,,,,"7.2.2 7.3.1 7.3.2 7.5 7.5.1 7.5.2 8.1 8.2 8.2.1 8.5.1 8.5.7",5.4,,,,,,MAP 1.6,CT.DP-P4,,,,AP-1,,,,PT-2,PT-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5,,,,,,,COMP:SG2.SP1,,,,,,,,,AP-1,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.2 1.4 PT-2",,,,,,,,,,,,,,,,"7002(a) 7002(e) 7002(f)",,6-1-1308(4),Sec 15(b),"Sec 10(b)(1) Sec 10(b)(3)",,,,,,,,,,,,,,"59.1-578.A.1 59.1-578.A.2","§ 2433(a)(2)(A) § 2433(a)(2)(B) § 2433(a)(2)(C)",,,Art 6,Art 5.1,,,,Sec 6,Art 4-7,Art 9,Art 6,"Sec 6 Sec 7",Art 7,Sec 4,,,Art 4,"Sec 4 Sec 5",Sec 2,,,Sec 11,"25(c) 28(2)(a) 28(2)(b) 28(2)(c) 28(2)(d) 28(2)(e) 28(2)(f) 28(2)(f)(i) 28(2)(f)(ii) 28(2)(f)(iii) 28(3) 30(1)(a) 30(1)(b)(i) 30(1)(b)(ii) 30(1)(b)(iii) 30(1)(b)(iv) 30(1)(b)(v) 30(1)(b)(vi) 30(1)(b)(vii) 30(1)(b)(viii) 30(2) 30(3) 33(1)(a) 33(1)(b) 33(2) 33(3)(a) 33(3)(b) 33(3)(c) 33(3)(d) 33(3)(e) 33(4) 36 37(1)(a) 37(1)(b) 37(2)",,Sec 8,"2.1(1)(a) 2.1(1)(a)(i) 2.1(1)(a)(ii) 2.2(a) 2.2(b) 2.2(c) 2.2(d) 2.2(e) 2.4(a)",,Art 23,Art 5,"Article 9.2 Article 18.1 Article 18.2 Article 18.3 Article 18.4",Art 5,,,,,,"Article 5.1 Article 5.2 Article 6.1 Article 6.2 Article 6.3 Article 6.4 Article 6.5 Article 7 Article 7.1 Article 7.2 Article 14 Article 20",,"Sec 2 Sec 3 Sec 4",Art 8,,Sec 10,Art 4,Art 10,Sec 9,,,,,"Article 5(1)(a) Article 11(1) Article 11(2) Article 18(2)",,,,APP Part 3,"APP 3 APP 7",,,,,,,"Article 5 Article 10 Article 13 Article 13(1) Article 13(2) Article 13(3) Article 13(4) Article 13(5) Article 13(6) Article 13(7) Article 18 Article 26 Article 29 Article 30 Article 47",,Sec 5,,"Article 17(1) Article 17(2) Article 17(2)(i) Article 17(2)(ii) Article 17(2)(iii) Article 17(2)(iv) Article 17(2)(v) Article 17(2)(vi)",,,,,,Sec 19,Sec 17,,,"Art 3 Art 15","Art 5 Art 19",Art 5,"Art 5.2 Art 7.1 Art 7.2 Art 7.4 Art 8",Sec 6,,"Art 6.1 Art 10 Art 11",,,"Sec 5 Principle 4",,Art 4,,Art 7,"Art 4 Art 14",Art 5,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Primary Sources,PRI-04.2,"Mechanisms exist to ensure information is directly collected from the data subject, whenever possible.",,,"Does the organization ensure information is directly collected from the data subject, whenever possible?",7,Identify,,X,,"There is no evidence of a capability to ensure information is directly collected from the data subject, whenever possible.","SP-CMM1 is N/A, since a structured process is required to ensure information is directly collected from the data subject, whenever possible.","SP-CMM2 is N/A, since a well-defined process is required to ensure information is directly collected from the data subject, whenever possible.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure information is directly collected from the data subject, whenever possible.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure information is directly collected from the data subject, whenever possible.",,P3.1-POF3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"28(1) 28(2)(a) 28(2)(b) 28(2)(c) 28(2)(d) 28(2)(e) 28(2)(f) 28(2)(f)(i) 28(2)(f)(ii) 28(2)(f)(iii)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 10,,,,,,,,,"Principle 2 P2-(1) P2-(2) P2-(2)(a) P2-(2)(b) P2-(2)(c) P2-(2)(d) P2-(2)(e)(i) P2-(2)(e)(ii) P2-(2)(e)(iii) P2-(2)(e)(iv) P2-(2)(e)(v) P2-(2)(f) P2-(2)(g)(i) P2-(2)(g)(ii)",,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Identifiable Image Collection,PRI-04.3,"Mechanisms exist to restrict the collection, processing, storage and sharing of photographic and/or video surveillance image collection that can identify individuals to legitimate business needs.",- Privacy Program,,"Does the organization restrict the collection, processing, storage and sharing of photographic and/or video surveillance image collection that can identify individuals to legitimate business needs?",7,Identify,,X,X,"There is no evidence of a capability to restrict the collection, processing, storage and sharing of photographic and/ or video surveillance image collection that can identify individuals to legitimate business needs.","SP-CMM1 is N/A, since a structured process is required to restrict the collection, processing, storage and sharing of photographic and/ or video surveillance image collection that can identify individuals to legitimate business needs.","SP-CMM2 is N/A, since a well-defined process is required to restrict the collection, processing, storage and sharing of photographic and/ or video surveillance image collection that can identify individuals to legitimate business needs.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the collection, processing, storage and sharing of photographic and/ or video surveillance image collection that can identify individuals to legitimate business needs.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the collection, processing, storage and sharing of photographic and/ or video surveillance image collection that can identify individuals to legitimate business needs.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 26,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Acquired Personal Data,PRI-04.4,"Mechanisms exist to promptly inform data subjects of the utilization purpose when their Personal Data (PD) is acquired and not received directly from the data subject, except where that utilization purpose was disclosed in advance to the data subject.",,,"Does the organization promptly inform data subjects of the utilization purpose when their Personal Data (PD) is acquired and not received directly from the data subject, except where that utilization purpose was disclosed in advance to the data subject?",6,Identify,,,X,"There is no evidence of a capability to promptly inform data subjects of the utilization purpose when their Personal Data (PD) is acquired and not received directly from the data subject, except where that utilization purpose was disclosed in advance to the data subject.","SP-CMM1 is N/A, since a structured process is required to promptly inform data subjects of the utilization purpose when their Personal Data (PD) is acquired and not received directly from the data subject, except where that utilization purpose was disclosed in advance to the data subject.","SP-CMM2 is N/A, since a well-defined process is required to promptly inform data subjects of the utilization purpose when their Personal Data (PD) is acquired and not received directly from the data subject, except where that utilization purpose was disclosed in advance to the data subject.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to promptly inform data subjects of the utilization purpose when their Personal Data (PD) is acquired and not received directly from the data subject, except where that utilization purpose was disclosed in advance to the data subject.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to promptly inform data subjects of the utilization purpose when their Personal Data (PD) is acquired and not received directly from the data subject, except where that utilization purpose was disclosed in advance to the data subject.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.9.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 20,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 18(1) Article 18(2) Article 18(4)(i) Article 18(4)(ii) Article 18(4)(iii) Article 18(4)(iv)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-GV-1 R-GV-5",,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,,,,R-GV-5,,,,,,,,,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Validate Collected Personal Data,PRI-04.5,"Mechanisms exist to ensure that the data subject, or authorized representative, validate Personal Data (PD) during the collection process.",,,"Does the organization ensure that the data subject, or authorized representative, validate Personal Data (PD) during the collection process?",1,Identify,,,X,"There is no evidence of a capability to ensure that the data subject, or authorized representative, validate Personal Data (PD) during the collection process.","SP-CMM1 is N/A, since a structured process is required to ensure that the data subject, or authorized representative, validate Personal Data (PD) during the collection process.","SP-CMM2 is N/A, since a well-defined process is required to ensure that the data subject, or authorized representative, validate Personal Data (PD) during the collection process.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that the data subject, or authorized representative, validate Personal Data (PD) during the collection process.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that the data subject, or authorized representative, validate Personal Data (PD) during the collection process.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DI-1(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DI-1(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Re-Validate Collected Personal Data,PRI-04.6,"Mechanisms exist to ensure that the data subject, or authorized representative, re-validate that Personal Data (PD) acquired during the collection process is still accurate.",,,"Does the organization ensure that the data subject, or authorized representative, re-validate that Personal Data (PD) acquired during the collection process is still accurate?",1,Identify,,,X,"There is no evidence of a capability to ensure that the data subject, or authorized representative, re-validate that Personal Data (PD) acquired during the collection process is still accurate.","SP-CMM1 is N/A, since a structured process is required to ensure that the data subject, or authorized representative, re-validate that Personal Data (PD) acquired during the collection process is still accurate.","SP-CMM2 is N/A, since a well-defined process is required to ensure that the data subject, or authorized representative, re-validate that Personal Data (PD) acquired during the collection process is still accurate.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that the data subject, or authorized representative, re-validate that Personal Data (PD) acquired during the collection process is still accurate.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that the data subject, or authorized representative, re-validate that Personal Data (PD) acquired during the collection process is still accurate.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DI-1(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DI-1(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Personal Data Retention & Disposal,PRI-05,"Mechanisms exist to: ▪ Retain Personal Data (PD), including metadata, for an organization-defined time period to fulfill the purpose(s) identified in the notice or as required by law; ▪ Dispose of, destroys, erases, and/or anonymizes the PD, regardless of the method of storage; and ▪ Use organization-defined techniques or methods to ensure secure deletion or destruction of PD (including originals, copies and archived records).",,"E-AST-11 E-PRI-02","Does the organization: ▪ Retain Personal Data (PD), including metadata, for an organization-defined time period to fulfill the purpose(s) identified in the notice or as required by law; ▪ Dispose of, destroys, erases, and/or anonymizes the PD, regardless of the method of storage; and ▪ Use organization-defined techniques or methods to ensure secure deletion or destruction of PD (including originals, copies and archived records)?",8,Identify,,X,X,"There is no evidence of a capability to: ▪ Retain Personal Data (PD), including metadata, for an organization-defined time period to fulfill the purpose(s) identified in the notice or as required by law; ▪ Dispose of, destroys, erases, and/ or anonymizes the PD, regardless of the method of storage; and ▪ Use organization-defined techniques or methods to ensure secure deletion or destruction of PD (including originals, copies and archived records).","Privacy (PRI) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • No formal data privacy team exists. Privacy roles are assigned to existing IT / cybersecurity. • Formal roles and responsibilities for data privacy may exist. • No formal data privacy principles are identified for the organization. • An ad hoc approach to Data Protection Impact Assessment (DPIA) exists. ","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies retain PD, including metadata, for an organization-defined time period to fulfill the purpose(s) identified in the data privacy notice, or as required by law. • Administrative processes and technologies dispose of, destroy, erase, and/ or anonymize the PD, regardless of the method of storage.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies retain PD, including metadata, for an organization-defined time period to fulfill the purpose(s) identified in the data privacy notice, or as required by law. • Administrative processes and technologies dispose of, destroy, erase, and/ or anonymize the PD, regardless of the method of storage.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Privacy (PRI) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","CC6.5 C1.2 P4.0 P4.2 P4.3","CC6.5-POF1 C1.2-POF2 P4.2-POF1 P4.3-POF2 P4.3-POF3",,3.5,3.5,3.5,3.5,,,DSP-16,,,"5.2.2 5.2.3",,,,,,18.1.4,"5.33 8.10",18.1.4,"A.4.1 A.9.2 A.9.3 A.10.2 A.10.7 A.10.8 A.10.9","7.4.2 7.4.8 8.2.3 8.4.2",5.6,,,,,,,CT.DM-P5,,,,DM-2,,,,"AC-4(25) SI-12 SI-12(3)","SI-12 SI-12(3)",SI-12,SI-12,SI-12,AC-4(25),,SI-12,SI-12,SI-12,3.4.14,SI-12,SI-12,,,,SI-12,,,,,,,,,,"3.2 3.2.1 3.2.2 3.2.3","9.4.6 9.4.7 10.5.1",9.4.6,"9.4.6 10.5.1",9.4.6,9.4.6,"9.4.6 10.5.1",9.4.6,"9.4.6 9.4.7 10.5.1","9.4.6 9.4.7 10.5.1",9.4.6,P.7.1,,,,,,,KIM:SG4.SP3,,"4.2.2 4.2.3.1 4.2.3.2 4.3",,,,,,,DM-2,,,,,,,,,,,,,,,,,,§ 1232g,,,,314.4(c)(6)(i),"164.502 164.502(a) 164.502(a)(1) 164.502(a)(2) 164.502(a)(3) 164.502(a)(4) 164.502(a)(5) 164.502(b) 164.502(b)(1) 164.502(b)(2) 164.502(c) 164.502(d) 164.502(d)(1) 164.502(d)(2) 164.502(e) 164.502(e)(1) 164.502(e)(2) 164.502(f) 164.502(g) 164.502(g)(1) 164.502(g)(2) 164.502(g)(3) 164.502(g)(4) 164.502(g)(5) 164.502(h) 164.502(i) 164.502(j) 164.504 164.506 164.508 164.510 164.512 164.514",,,9.L.C,"2.F.1 2.F.3 SI-12",,,,,,Principle 5,,,5.8,,,,,45.48.500,,,,,"Sec 15(a) Sec 15(b)(2)",,"Sec 40(a) Sec 40(b) Sec 40(b)(1) Sec 40(b)(2) Sec 40(c) Sec 40(d) Sec 40(e) Sec 40(f)",,,500.13,Sec 4(2)(b)(ii)(C)(4),,,Sec. 521.052(b),,SI-12,,,,,,,,"Art 5 Art 7 Art 8 Art 13","Art 5.1 Art 18.1 Art 18.2 Art 21.1 Art 21.2 Art 21.3",,Art 24,Principle 2.5.b,Sec 7,"Art 4-7 Art 21","Art 5 Art 6 Art 20",Art 6,"Sec 11 Sec 21 Sec 34 Sec 35","Art 6 Art 36","Sec 3a Sec 5 Sec 13 Sec 14 Sec 20",,"OPS-11 OPS-12 PI-03","Art 4 Art 7",Sec 5,Sec 2,15.4,Sec 8,Sec 11,"25(g) 34(3) 39(1) 39(1)(a) 39(1)(b) 39(1)(c) 39(1)(d) 39(2)",Art 5-1,"Sec 6 Sec 7 Sec 9 Sec 10 Sec 12",2.1(1)(c),"Sec 8 Sec 11 Sec 15 Sec 27 Sec 28","Art 23 Art 26",Art 5,,Art 5,,,3.3.11,,,"Article 5.5 Article 8","Sec 5 Sec 6","Sec 4 Sec 14 Sec 16","Art 8 Art 22",,Sec 9,Art 4,"Art 5 Art 7",Sec 8,,,,Chapter29-Schedule1-Part1-Principle 5,,,,,"APP Part 3 APP Part 6","APP 4 APP 6",,,,,,,"Article 10 Article 19 Article 47 Article 47(1) Article 47(2) Article 47(3) Article 47(4) Article 47(5)"," Principle 2 Sec 26 Principle 3 Sec 4",Sec 5,Art 46,Article 19,18.1.4,"Sec 5 Sec 6 Sec 10",,,,"Sec 19 Sec 21","Sec 23 Sec 25",,11.1.7,"Art 3 Art 4 Art 15 Art 19 Art 21 Art 37","Art 5 Art 19",Art 4,"Art 5.1 Art 4.3 Art 9.2","Sec 6 Sec 12",,"Art 6.2 Art 6.9 Art 13 Art 14 Art 15 Art 21",,,"Sec 7 Sec 8 Principle 5 Principle 6",Art 9,Art 4,Art 6,"Art 7 Art 8 Art 9 Art 11 Art 12 Art 13 Art 14","Art 7 Art 8 Art 14","Art 5 Art 6 Art 20 Art 21 Art 22",,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,"Internal Use of Personal Data For Testing, Training and Research",PRI-05.1,"Mechanisms exist to address the use of Personal Data (PD) for internal testing, training and research that: ▪ Takes measures to limit or minimize the amount of PD used for internal testing, training and research purposes; and ▪ Authorizes the use of PD when such information is required for internal testing, training and research.",,E-PRI-02,"Does the organization address the use of Personal Data (PD) for internal testing, training and research that: ▪ Takes measures to limit or minimize the amount of PD used for internal testing, training and research purposes; and ▪ Authorizes the use of PD when such information is required for internal testing, training and research?",8,Identify,,X,,"There is no evidence of a capability to address the use of Personal Data (PD) for internal testing, training and research that: ▪ Takes measures to limit or minimize the amount of PD used for internal testing, training and research purposes; and ▪ Authorizes the use of PD when such information is required for internal testing, training and research.","SP-CMM1 is N/A, since a structured process is required to address the use of Personal Data (PD) for internal testing, training and research that: ▪ Takes measures to limit or minimize the amount of PD used for internal testing, training and research purposes; and ▪ Authorizes the use of PD when such information is required for internal testing, training and research.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies collect, store, processes, transmit share or use PD only for the purposes identified in the data privacy notice. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies collect, store, processes, transmit share or use PD only for the purposes identified in the data privacy notice. ","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address the use of Personal Data (PD) for internal testing, training and research that: ▪ Takes measures to limit or minimize the amount of PD used for internal testing, training and research purposes; and ▪ Authorizes the use of PD when such information is required for internal testing, training and research.",P4.1,,,,,,,,,"DSP-12 DSP-15",,,"7.2.2 9.2.1 9.2.2",,,,,,18.1.4,5.33,18.1.4,,7.4.2,5.6,,,,,,MAP 1.6,"CT.PO-P1 CT.PO-P2",,,,"DM-1 DM-3 DM-3(1)",,,,"PM-25 PT-2 PT-3 SI-12(1) SI-12(2)","PM-25 PT-2 SI-12(1) SI-12(2)",,,,,,,,,,PM-25,,,,PM-25,,,,,,,,,,,"6.4 6.4.3",6.5.5,,,,,,,6.5.5,6.5.5,,P.7.4,,"9.2 9.4",,,,,"COMP:SG2.SP1 COMP:SG3.SP1 KIM:SG2.SP1 KIM:SG2.SP2",,"4.2.2 4.2.3.1 4.2.3.2 4.3",,,,,,,"DM-1 DM-3 DM-3(1)",6502,,,,,,,,,,,,,,,,,§ 1232g,,,,,,,,,"1.2 1.4 PT-2 SI-12(2)",,,,,,,,,5.8,,,,,,,"7002(d) 7002(d)(1) 7002(d)(2) 7002(d)(3)",,6-1-1308(4),,,,,Sec 2.3,,,,,,,,,,,"59.1-578.A.2 59.1-578.A.4 59.1-578.A.5",,,,"Art 5 Art 7","Art 5.1 Art 11.1 Art 18.1 Art 18.2",,,"Principle 2.5.a Principle 2.5.b",Sec 12,"Art 4-7 Art 21","Art 9 Art 13",,,"Art 8 Art 9",,,,,Sec 9,,,Sec 8,"Sec 13 Sec 20","25(a) 25(b) 25(c) 28(2)(a) 28(2)(b) 28(2)(c) 28(2)(d) 28(2)(e) 28(2)(f) 28(2)(f)(i) 28(2)(f)(ii) 28(2)(f)(iii) 28(3) 30(1)(a) 30(1)(b)(i) 30(1)(b)(ii) 30(1)(b)(iii) 30(1)(b)(iv) 30(1)(b)(v) 30(1)(b)(vi) 30(1)(b)(vii) 30(1)(b)(viii) 30(2) 30(3) 33(1)(a) 33(1)(b) 33(2) 33(3)(a) 33(3)(b) 33(3)(c) 33(3)(d) 33(3)(e) 33(4) 34(1)(a) 34(1)(b) 34(1)(c) 34(1)(d) 34(2)(a) 34(2)(b) 34(3) 36 37(1)(a) 37(1)(b) 37(2) 53(1) 53(2) 53(3)(a) 53(3)(b) 53(4)",,Sec 11,"2.1(1)(b) 3.1(12)","Sec 11 Sec 27",Art 26,,"Article 8.2 Article 9.4",,,,,,,"Article 5.1 Article 5.3 Article 7 Article 7.1 Article 7.2 Article 20",,Sec 10,Art 8,,,,,Sec 8,,,,Chapter29-Schedule1-Part1-Principle 3,Article 5(1)(c),,,,APP Part 3,APP 6,,,,,,,"Article 13 Article 13(1) Article 13(2) Article 13(3) Article 13(4) Article 13(5) Article 13(6) Article 13(7) Article 28 Article 47",,,,Article 16-2,18.1.4,,,,"Principle 10 P10-(1) P10-(1)(a) P10-(1)(b)(i) P10-(1)(b)(ii) P10-(1)(c) P10-(1)(d) P10-(1)(e)(i) P10-(1)(e)(ii) P10-(1)(e)(iii) P10-(1)(e)(iv) P10-(1)(f)(i) P10-(1)(f)(ii) P10-(2)",Sec 19,,,,Art 3,,Art 4,"Art 7.3 Art 9.2",Sec 6,,,,,,,Art 4,,,,"Art 5 Art 6 Art 20 Art 21 Art 22",,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Personal Data Accuracy & Integrity,PRI-05.2,Mechanisms exist to confirm the accuracy and relevance of Personal Data (PD) throughout the information lifecycle.,,,Does the organization confirm the accuracy and relevance of Personal Data (PD) throughout the information lifecycle?,5,Identify,,X,,There is no evidence of a capability to confirm the accuracy and relevance of Personal Data (PD) throughout the information lifecycle.,"SP-CMM1 is N/A, since a structured process is required to confirm the accuracy and relevance of Personal Data (PD) throughout the information lifecycle.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • A Chief Data Officer (CDO), or similar function, oversees processes to ensure the quality, utility, objectivity, integrity, impact determination and de-identification of PD across the information lifecycle, including methods to identify and eliminate potential biases.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to confirm the accuracy and relevance of Personal Data (PD) throughout the information lifecycle.",,,,,,,,,,,,,9.2.1,,,,,,,,,,7.4.3,5.7,,,,,,,PR.DS-P6,,,,DI-2,,,,PM-24,PM-24,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.3,,,,,,,"COMP:SG2.SP3 EXD:SG3.SP4 KIM:SG5.SP3",,,,,,,,,DI-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 7,Art 5.1,,,,,,,,,,,,,,,,,,,25(f),,Sec 11,,Sec 11,,,,,,,,,,Article 5.4,,"Sec 14 Sec 16",Art 8,,,,,Sec 8,,,,,,,,,APP Part 10,APP 10,,,,,,,Article 8,,,,Article 19,,Sec 11,,,Principle 9,,Sec 23,,,Art 3,,Art 4,Art 4.5,Sec 6,,,,,Principle 6,,Art 4,Art 6,Art 9,Art 8,,,,,x,,,,"R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Masking,PRI-05.3,"Mechanisms exist to mask sensitive information through data anonymization, pseudonymization, redaction or de-identification.",,,"Does the organization mask sensitive information through data anonymization, pseudonymization, redaction or de-identification?",8,Identify,,X,X,"There is no evidence of a capability to mask sensitive information through data anonymization, pseudonymization, redaction or de-identification.","SP-CMM1 is N/A, since a structured process is required to mask sensitive information through data anonymization, pseudonymization, redaction or de-identification.","SP-CMM2 is N/A, since a well-defined process is required to mask sensitive information through data anonymization, pseudonymization, redaction or de-identification.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Technologies are configured to mask sensitive/regulated data that is displayed or printed. ","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mask sensitive information through data anonymization, pseudonymization, redaction or de-identification.",,,,,,,,,,,,,,,,,,,,8.11,,,,,,,,,,,,,,,,,,,SI-19(4),,,,,SI-19(4),,,,,,,,,,,,,,,,,,,,,3.3,3.4.1,,,3.4.1,3.4.1,3.4.1,3.4.1,3.4.1,3.4.1,,P.7.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 7,Art 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,APP Part 2,,,,,,,,,,,,,,,,,,,,,,Art 3,,,Art 4.4,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Usage Restrictions of Sensitive Personal Data,PRI-05.4,"Mechanisms exist to restrict the use of Personal Data (PD) to only the authorized purpose(s) consistent with applicable laws, regulations and in data privacy notices. ",,,"Does the organization restrict the use of Personal Data (PD) to only the authorized purpose(s) consistent with applicable laws, regulations and in data privacy notices? ",8,Identify,,X,X,"There is no evidence of a capability to restrict the use of Personal Data (PD) to only the authorized purpose(s) consistent with applicable laws, regulations and in data privacy notices. ","SP-CMM1 is N/A, since a structured process is required to restrict the use of Personal Data (PD) to only the authorized purpose(s) consistent with applicable laws, regulations and in data privacy notices. ","SP-CMM2 is N/A, since a well-defined process is required to restrict the use of Personal Data (PD) to only the authorized purpose(s) consistent with applicable laws, regulations and in data privacy notices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to restrict the use of Personal Data (PD) to only the authorized purpose(s) consistent with applicable laws, regulations and in data privacy notices. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the use of Personal Data (PD) to only the authorized purpose(s) consistent with applicable laws, regulations and in data privacy notices. ","P4.0 P4.1",P4.1-POF1,,,,,,,,"DSP-12 DSP-17",,,"5.2.1 9.2.2",,,,,,18.1.4,5.33,18.1.4,,"7.4.2 7.4.4 8.2.3",5.6,,,"T1005, T1025, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1133, T1213, T1213.001, T1213.002, T1552.007, T1567",,,,"CT.DM-P8 CT.DP-P4 CT.PO-P1 CT.PO-P2",,,,"DM-3(1) UL-1",,,,"AC-23 PM-25 PT-2 PT-7","PM-25 PT-2 PT-7",,,,AC-23,,,,,,"AC-23 PM-25",,AC-23,,"AC-23 PM-25",AC-23,,,,,,,,,,"6.4 6.4.3",6.5.5,,,,,,,6.5.5,6.5.5,,P.1.5,,"9.2 9.4",,,,,"COMP:SG2.SP1 COMP:SG3.SP1 KIM:SG2.SP1 KIM:SG2.SP2",,"4.2.2 4.2.3.1 4.2.3.2 4.3",,,,,,,"DM-3(1) UL-1",6502,,,,,,,,,,,,,,,,,§ 1232g,,,,,,,,,"AC-23 PT-2",,,,,,Principle 5,,,5.8,,,,,,,"7002(d) 7002(d)(1) 7002(d)(2) 7002(d)(3) 7027(a) 7027(b) 7027(b)(1) 7027(b)(2) 7027(b)(3) 7027(b)(4) 7027(c) 7027(d) 7027(e) 7027(f) 7027(g)(1) 7027(g)(2) 7027(g)(3) 7027(h) 7027(i) 7027(j) 7027(k) 7027(l) 7027(m) 7027(m)(1) 7027(m)(2) 7027(m)(3) 7027(m)(4) 7027(m)(5) 7027(m)(6) 7027(m)(7) 7027(m)(8)",,"6-1-1305(2) 6-1-1308(4) 6-1-1308(7)",Sec 15(b)(2),,,,Sec 2.3,,,,,,,,,,,"59.1-578.A.2 59.1-578.A.4 59.1-578.A.5",,,,"Art 5 Art 7","Art 5.1 Art 9.1 Art 9.2 Art 10 Art 11.1 Art 18.1 Art 18.2",,,"Principle 2.2.c Principle 2.2.c(i) Principle 2.2.c(ii) Principle 2.5.a Principle 2.5.b",Sec 12,"Art 4-7 Art 21","Art 9 Art 13",,,"Art 8 Art 9",,,,,Sec 9,,,Sec 8,"Sec 13 Sec 20","44 45(a) 45(a)(i) 45(a)(ii) 45(b) 45(c)(i) 45(c)(ii) 45(c)(iii) 46(1)(a) 46(1)(b) 46(2)(a) 46(2)(b) 47(1) 47(2)(a) 47(2)(b) 47(2)(c) 47(2)(d) 47(3)",,Sec 9,3.1(12),Sec 9,Art 27,Art 7,"Article 8.2 Article 9.4 Article 10 Article 16 Article 22","Art 6 Art 10",,,,,,"Article 5.1 Article 5.3 Article 17 Article 17.1 Article 17.2 Article 17.3 Article 17.4 Article 17.5 Article 17.6 Article 17.7 Article 17.8 Article 17.9 Article 17.10 Article 18.1 Article 18.2 Article 18.3 Article 19",,"Sec 15 Sec 26",,,Sec 13,,Art 6,Sec 10,,,,Chapter29-Schedule1-Part1-Principle 3,"Article 9(1) Article 10",,,,APP Part 3,"APP 6 APP 7 APP 9",,,,,,,"Article 13 Article 13(1) Article 13(2) Article 13(3) Article 13(4) Article 13(5) Article 13(6) Article 13(7) Article 18 Article 28 Article 29 Article 30 Article 31 Article 32",,,,Article 16-2,18.1.4,Sec 34,,,"Principle 10 P10-(1) P10-(1)(a) P10-(1)(b)(i) P10-(1)(b)(ii) P10-(1)(c) P10-(1)(d) P10-(1)(e)(i) P10-(1)(e)(ii) P10-(1)(e)(iii) P10-(1)(e)(iv) P10-(1)(f)(i) P10-(1)(f)(ii) P10-(2)","Sec 19 Sec 22 Sec 34",Sec 14,,,"Art 16 Art 18 Art 23",Art 5,"Art 6 Art 7",Art 4.3,Sec 12,,,,,,Art 10,"Art 4 Art 5 Art 6 Art 7",Art 9,"Art 7 Art 9",,"Art 5 Art 6 Art 18 Art 19 Art 20 Art 21 Art 22",,,,x,,,x,"R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1 R-SA-2",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Inventory of Personal Data,PRI-05.5,"Mechanisms exist to establish, maintain and update an inventory that contains a listing of all programs and systems identified as collecting, using, maintaining, or sharing Personal Data (PD). ",,E-AST-08,"Does the organization establish, maintain and update an inventory that contains a listing of all programs and systems identified as collecting, using, maintaining, or sharing Personal Data (PD)? ",8,Identify,,X,,"There is no evidence of a capability to establish, maintain and update an inventory that contains a listing of all programs and systems identified as collecting, using, maintaining, or sharing Personal Data (PD). ","SP-CMM1 is N/A, since a structured process is required to establish, maintain and update an inventory that contains a listing of all programs and systems identified as collecting, using, maintaining, or sharing Personal Data (PD). ","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies establish, maintain and update an inventory that contains a listing of all systems, applications, services and third-parties that store, process and/ or transmit PD. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies establish, maintain and update an inventory that contains a listing of all systems, applications, services and third-parties that store, process and/ or transmit PD. ","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish, maintain and update an inventory that contains a listing of all programs and systems identified as collecting, using, maintaining, or sharing Personal Data (PD). ",,,,,,,,,,,,,7.2.2,,,,,,,,,,,,,,,,,,"ID.IM-P1 ID.IM-P3 ID.IM-P6",,,,SE-1,,,,PM-5(1),PM-5(1),,,,,,,,,,,,,,,,,,,,,,,ID.AM-07,,,,,,,,,,,,,D.1.1,,,,,,,"ADM:SG2.SP1 ADM:SG3.SP1 MON:SG2.SP3 MON:SG2.SP4",,,,,,,,,SE-1,,,,,,,,,,,,,,,,,,,,,,,,,,,PM-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 3,,,,,,,,,,,,,,,,,,,,,,B3.e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 33,,,,,,,,3.1.4,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Personal Data Inventory Automation Support,PRI-05.6,Automated mechanisms exist to determine if Personal Data (PD) is maintained in electronic form.,,,Does the organization use automated mechanisms to determine if Personal Data (PD) is maintained in electronic form?,1,Identify,,X,X,There is no evidence of a capability to determine if Personal Data (PD) is maintained in electronic form.,"SP-CMM1 is N/A, since a structured process is required to determine if Personal Data (PD) is maintained in electronic form.","SP-CMM2 is N/A, since a well-defined process is required to determine if Personal Data (PD) is maintained in electronic form.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine if Personal Data (PD) is maintained in electronic form.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"ID.IM-P1 ID.IM-P3 ID.IM-P6",,,,,,,,PM-5(1),PM-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.6.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 13,,Art 16,,,,,,,,,,,Sec 29,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Data Privacy,Personal Data Categories,PRI-05.7,Mechanisms exist to define and implement data handling and protection requirements for specific categories of sensitive Personal Data (PD).,,E-PRI-07,Does the organization define and implement data handling and protection requirements for specific categories of sensitive Personal Data (PD)?,5,Identify,,X,,There is no evidence of a capability to define and implement data handling and protection requirements for specific categories of sensitive Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to define and implement data handling and protection requirements for specific categories of sensitive Personal Data (PD).","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define and implement data handling and protection requirements for specific categories of sensitive Personal Data (PD).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define and implement data handling and protection requirements for specific categories of sensitive Personal Data (PD).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PT-7 PT-7(1) PT-7(2)","PT-7 PT-7(1) PT-7(2)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7002(f),,,,,,,,,,,,,,,,,,"59.1-578.C.1 59.1-578.C.2 59.1-578.C.3 59.1-578.C.4 59.1-578.C.5",,,,,,,,,,,,,,,,,,,,,,,,"47(1) 47(2)(a) 47(2)(b) 47(2)(c) 47(2)(d) 47(3)",,,,,,,,,,,,,,"Article 9 Article 9.1 Article 9.2 Article 9.3 Article 9.4 Article 9.5 Article 10 Article 13",,,,,,,,,,,,,,,,,,APP 9,,,,,,,Article 51(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Subject Access,PRI-06,Mechanisms exist to provide data subjects the ability to access their Personal Data (PD) maintained in organizational systems of records.,,E-PRI-06,Does the organization provide data subjects the ability to access their Personal Data (PD) maintained in organizational systems of records?,6,Identify,,X,,There is no evidence of a capability to provide data subjects the ability to access their Personal Data (PD) maintained in organizational systems of records.,"SP-CMM1 is N/A, since a structured process is required to provide data subjects the ability to access their Personal Data (PD) maintained in organizational systems of records.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies provide data subjects the ability to access their PD maintained in organizational systems of records.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies provide data subjects the ability to access their PD maintained in organizational systems of records.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide data subjects the ability to access their Personal Data (PD) maintained in organizational systems of records.","P5.0 P5.1","P5.1-POF1 P5.1-POF2 P5.1-POF3",,,,,,,,DSP-11,,,"6.2.1 6.2.2 6.2.3 6.2.4 6.2.5 6.2.6",,,,,,,,,A.8,"7.3.6 8.2.5",5.9,,,,,,,CT.DM-P1,,,,IP-2,,,,"AC-3(14) SI-18(4)","AC-3(14) SI-18(4)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.6.3,,,,,,,"AM:SG1.SP1 COMP:SG3.SP1 EF:SG2.SP1 EF:SG2.SP2",,,,,,,,,IP-2,,,,,,,,,,,,,,,,,,§ 1232g,,,,,"164.522 164.522(a) 164.522(a)(1) 164.522(a)(2) 164.522(a)(3) 164.524 164.524(a) 164.524(b) 164.524(c) 164.524(d) 164.524(e)",,,,,,,,,,Principle 6,,,,,,,,,,"7024(a) 7024(b) 7024(c) 7024(c)(1) 7024(c)(2) 7024(c)(3) 7024(c)(4) 7024(d) 7024(e) 7024(f) 7024(g) 7024(h) 7024(i) 7024(j) 7024(k) 7024(k)(1) 7024(k)(2) 7024(k)(3) 7024(k)(4) 7024(k)(5) 7024(k)(6) 7024(l)",,6-1-1306(1)(b),,,,,Sec 2.1,,,,,,,,,,,"59.1-577.A 59.1-577.A.1 59.1-577.A.2 59.1-577.A.3 59.1-577.A.4 59.1-577.A.5 59.1-577.B 59.1-577.B.1 59.1-577.B.2 59.1-577.B.3 59.1-577.B.4 59.1-577.B.5 59.1-577.C 59.1-581.C 59.1-581.C.1 59.1-581.C.2 59.1-581.C.3",,,,,"Art 12.1 Art 12.2 Art 13.2 Art 14.2 Art 15.1 Art 15.2 Art 15.3 Art 15.4 Art 16 Art 26.3",,,Principle 2.6.a,Sec 26,"Art 10 Art 12",Art 12,,"Sec 24 Sec 26",Art 39,Sec 19,,,"Art 11 Art 12","Sec 14 Sec 15",Sec 2,,Sec 13,Sec 7,"26(a) 26(b) 26(c) 26(d) 26(e)",,Sec 35,"3.1(1) 3.1(3) 3.1(3)(a) 3.1(3)(b)",Sec 18,Art 32,"Art 10 Art 11","Article 6 Article 21.1 Article 21.2",Art 14,,,,,,"Article 21 Article 23 Article 24 Article 25 Article 26 Article 28.1 Article 28.2 Article 28.3 Article 28.4 Article 28.5",,Sec 23,"Art 23 Art 24 Art 27 Art 28 Art 29",,,Art 8,Art 11,Sec 17,,,,,"Article 5(1)(e) Article 12(1) Article 12(2) Article 12(3) Article 12(4) Article 12(5) Article 12(6) Article 12(7) Article 15(1)(a) Article 15(1)(b) Article 15(1)(c) Article 15(1)(d) Article 15(1)(e) Article 15(1)(f) Article 15(1)(g) Article 15(1)(h) Article 15(3) Article 15(4)",,,,APP Part 12,APP 12,,,,,,,"Article 45 Article 46 Article 49","Principle 6 Sec 17A Sec 18",,,"Article 27(1) Article 27(1)(i) Article 27(1)(ii) Article 27(1)(iii) Article 27(1)(iv) Article 27(2)(i) Article 27(2)(ii) Article 27(3) Article 28(1) Article 28(2) Article 28(2)(i) Article 28(2)(ii) Article 28(2)(iii) Article 28(3) Article 28(4) Article 28(5)",,"Sec 12 Sec 30",,,"Principle 6 P6-(1) P6-(1)(a) P6-(1)(b) P6-(2) P6-(3)",Sec 34,Sec 21,,,"Art 4 Art 35",Art 3,"Art 14 Art 15","Art 4.6 Art 13 Art 14.1 Art 14.2 Art 14.3 Art 14.4",Sec 8,,"Art 6.4 Art 9 Art 17 Art 18.1 Art 18.2 Art 20",,,"Principle 8 Principle 9",Art 12,"Art 8 Art 11",Art 7,"Art 15 Art 22 Art 23 Art 25","Art 10 Art 18 Art 19",Art 14,,,,x,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Correcting Inaccurate Personal Data,PRI-06.1,"Mechanisms exist to establish and implement a process for: ▪ Data subjects to have inaccurate Personal Data (PD) maintained by the organization corrected or amended; and ▪ Disseminating corrections or amendments of PD to other authorized users of the PD.",- Data Protection Impact Assessment (DPIA),,"Does the organization establish and implement a process for: ▪ Data subjects to have inaccurate Personal Data (PD) maintained by the organization corrected or amended; and ▪ Disseminating corrections or amendments of PD to other authorized users of the PD?",5,Respond,,X,,"There is no evidence of a capability to establish and implement a process for: ▪ Data subjects to have inaccurate Personal Data (PD) maintained by the organization corrected or amended; and ▪ Disseminating corrections or amendments of PD to other authorized users of the PD.","SP-CMM1 is N/A, since a structured process is required to establish and implement a process for: ▪ Data subjects to have inaccurate Personal Data (PD) maintained by the organization corrected or amended; and ▪ Disseminating corrections or amendments of PD to other authorized users of the PD.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes exist for data subjects to have inaccurate PD maintained by the organization corrected or amended.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The CPO and DPO develop and implement a process for data subjects to have inaccurate PD maintained by the organization corrected or amended.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish and implement a process for: ▪ Data subjects to have inaccurate Personal Data (PD) maintained by the organization corrected or amended; and ▪ Disseminating corrections or amendments of PD to other authorized users of the PD.","P5.1 P5.2",P5.2-POF2,,,,,,,,,,,"6.2.5 6.2.6 10.2.1 10.2.2",,,,,,,,,,7.3.6,5.9,,,,,,,"CM.AW-P8 CT.DM-P3",,,,IP-3,,,,"SI-18(4) SI-18(5)",SI-18(4),,,,SI-18(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.4.3,,,,,,,"COMM:SG1.SP3 KIM:SG5.SP1",,,,,,,,,IP-3,,,,,,,,,,,,,,,,,,,,,,,"164.526 164.526(a) 164.526(b) 164.526(c) 164.526(d) 164.526(e) 164.526(f)",,,,,,,,,,Principle 7,,,,,,,,,,"7023(a) 7023(b) 7023(b)(1) 7023(b)(1)(A) 7023(b)(1)(B) 7023(b)(1)(C) 7023(b)(2) 7023(c) 7023(d)(1) 7023(d)(2) 7023(d)(2)(A) 7023(d)(2)(B) 7023(d)(2)(C) 7023(d)(2)(D) 7023(d)(3) 7023(d)(4) 7023(e) 7023(f) 7023(f)(1) 7023(f)(2) 7023(f)(3) 7023(f)(4) 7023(g) 7023(h) 7023(i) 7023(j) 7023(k)",,6-1-1306(1)(c),,,,,,,,,,,,,,,,59.1-577.A.2,,,,,"Art 12.3 Art 14.2 Art 16 Art 18.1 Art 26.3",,,Principle 2.6,Sec 27,"Art 10 Art 12",Art 21,"Art 24 Art 37",Sec 29,"Art 38 Art 39",Sec 20,,,Art 13,"Sec 14 Sec 15 Sec 17",Sec 2,,Sec 14,Sec 7,"25(f) 26(d) 40(1)(a) 40(2)(a)",,Sec 36,,Sec 27,Art 32,Art 12,"Article 5.4 Article 6.2",Art 17,,,,,,"Article 5.4 Article 11 Article 29",,Sec 24,"Art 23 Art 24 Art 31 Art 32",,Sec 28,Art 5,,Sec 17,,,,,"Article 5(1)(d) Article 16 Article 19",,,,APP Part 13,APP 13,,,,,,Sec 8,"Article 46 Article 49",Sec 22,,,"Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 29(1) Article 29(2) Article 29(3)",,Sec 34,,,"P6-(2) Principle 7 P7-(1) P7-(2) P7-(3)(a) P7-(3)(b) P7-(4) P7-(5) P7-(6)",Sec 34,Sec 22,,,"Art 4 Art 36",Art 3,Art 16,"Art 16.1 Art 16.3",Sec 10,,Art 18.3,,,Principle 10,Art 13,"Art 8 Art 11",Art 7,"Art 24 Art 28 Art 29",Art 20,"Art 15 Art 16",,,,x,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,R-BC-3,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Notice of Correction or Processing Change,PRI-06.2,Mechanisms exist to notify affected data subjects if their Personal Data (PD) has been corrected or amended.,"The organization should, in the case of having general written authorization, inform the customer of any intended changes concerning the addition or replacement of subcontractors to process PD, thereby giving the customer the opportunity to object to such changes.",,Does the organization notify affected data subjects if their Personal Data (PD) has been corrected or amended?,4,Respond,,X,,There is no evidence of a capability to notify affected data subjects if their Personal Data (PD) has been corrected or amended.,"SP-CMM1 is N/A, since a structured process is required to notify affected data subjects if their Personal Data (PD) has been corrected or amended.","SP-CMM2 is N/A, since a well-defined process is required to notify affected data subjects if their Personal Data (PD) has been corrected or amended.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies notify affected data subjects if their PD has been corrected or amended.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to notify affected data subjects if their Personal Data (PD) has been corrected or amended.",P5.2,"P3.1-POF4 P5.2-POF2 P5.2-POF3",,,,,,,,,,,,,,,,,,,,,8.5.8,5.9,,,,,,,"CM.AW-P1 CM.PO-P1 CT.PO-P4",,,,,,,,SI-18(5),,,,,SI-18(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.6.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7023(j),,,,,,,,,,,,,,,,,,,,,,,"Art 12.3 Art 18.3 Art 19 Art 26.3",,,,,,Art 16,Art 37,,Art 39,,,,,"Sec 14 Sec 15 Sec 17 Sec 18",Sec 2,,,Sec 10,,,Sec 38,3.1(13),,Art 32,,Article 6.2,Art 18,,,,,,"Article 34 Article 34.1 Article 34.2 Article 34.3 Article 34.4 Article 34.5",,Sec 24,"Art 23 Art 24 Art 31 Art 32",,,,,,,,,,Article 18(3),,,,APP Part 13,APP 13,,,,,,,"Article 22 Article 46 Article 49",,,,"Article 18(3) Article 18(4)(i) Article 18(4)(ii) Article 18(4)(iii) Article 18(4)(iv) Article 29(1) Article 29(2) Article 29(3)",,,,,P6-(2),Sec 34,Sec 23,,,"Art 4 Art 36",,Art 16,Art 16.2,Sec 11,,Art 18.9,,,,,"Art 8 Art 11",,,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Appeal Adverse Decision,PRI-06.3,Mechanisms exist to provide an organization-defined process for data subjects to appeal an adverse decision and have incorrect information amended.,,,Does the organization provide an organization-defined process for data subjects to appeal an adverse decision and have incorrect information amended?,4,Respond,,X,X,There is no evidence of a capability to provide an organization-defined process for data subjects to appeal an adverse decision and have incorrect information amended.,"SP-CMM1 is N/A, since a structured process is required to provide an organization-defined process for data subjects to appeal an adverse decision and have incorrect information amended.","SP-CMM2 is N/A, since a well-defined process is required to provide an organization-defined process for data subjects to appeal an adverse decision and have incorrect information amended.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies provide a process for data subjects to appeal an adverse decision and have incorrect information amended.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide an organization-defined process for data subjects to appeal an adverse decision and have incorrect information amended.",P5.2,,,,,,,,,,,,,,,,,,,,,,,5.9,,,,,,,CM.AW-P8,,,,,,,,PM-26,PM-26,,,,,,,,,,PM-26,,,,PM-26,PM-26,,,,,,,,,,,,,,,,,,,,,P.5.5.6.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 7,,,,,,,,,,,,"6-1-1306(3)(a) 6-1-1306(3)(b) 6-1-1306(3)(c)",,,,,,,,,,,,,,,,59.1-577.C,,,,,"Art 21.1 Art 21.2 Art 21.3 Art 26.3",,,,Sec 28,,,Art 35,,"Art 38 Art 39",,,,Art 13,"Sec 14 Sec 15 Sec 17 Sec 18",Sec 2,,,,,,Sec 40,,,,,,Art 17,,,,,,,,"Sec 63 Sec 74","Art 23 Art 24",,,,,Sec 17,,,,,,,,,,,,,,,,,,,,,Article 31,,,,,,Sec 34,,,,Art 38,,,,,,Art 18.9,,,Sec 11,,Art 15,,,Art 22,Art 16,,,,x,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,User Feedback Management,PRI-06.4,"Mechanisms exist to implement a process for receiving and responding to complaints, concerns or questions from data subjects about the organizational data privacy practices.",,,"Does the organization implement a process for receiving and responding to complaints, concerns or questions from data subjects about the organizational data privacy practices?",5,Respond,,X,X,"There is no evidence of a capability to implement a process for receiving and responding to complaints, concerns or questions from individuals about the organizational data privacy practices.","SP-CMM1 is N/A, since a structured process is required to implement a process for receiving and responding to complaints, concerns or questions from individuals about the organizational data privacy practices.","SP-CMM2 is N/A, since a well-defined process is required to implement a process for receiving and responding to complaints, concerns or questions from individuals about the organizational data privacy practices.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies empower data subjects to edit and/ or revoke authorizations for the organization to collect, store, processes, transmit share or use their PD.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a process for receiving and responding to complaints, concerns or questions from individuals about the organizational data privacy practices.","P5.2 P8.1","P4.3-POF1 P5.1-POF4 P5.2-POF1 P5.2-POF3 P6.7-POF2 P8.1-POF1 P8.1-POF2 P8.1-POF3",,,,,,,,,,,"6.2.5 6.2.6 7.1.2 10.2.1 10.2.2",,,,,,,,,,7.3.9,5.9,,,,,,,"GV.MT-P4 GV.MT-P7 CM.AW-P2 CT.PO-P4",,,,"IP-4 IP-4(1)",,,,PM-26,PM-26,,,,,,,,,,PM-26,,,,PM-26,PM-26,,,,,,,,,,,,,,,,,,,,,P.10.1,,,,,,,OPD:SG1.SP1,,,,,,,,,"IP-4 IP-4(1)",,,,,,,,,,,,,,,,,,,,,,,"164.530(d) 164.530(d)(1) 164.530(d)(2)",,,,,,,,,,Principle 7,,,,,,,,,,"7020(a) 7020(b) 7020(c) 7020(e) 7020(f) 7020(g) 7020(h) 7021(a) 7021(b) 7060(a) 7060(b) 7060(c)(1) 7060(c)(2) 7060(c)(3)(A) 7060(c)(3)(B) 7060(c)(3)(C) 7060(c)(3)(D) 7060(c)(3)(E) 7060(c)(3)(F) 7060(d) 7060(e) 7060(f) 7060(g) 7060(h) 7061(a) 7061(b) 7062(a) 7062(b) 7062(c) 7062(d) 7062(e) 7062(e)(1) 7062(e)(2) 7062(f) 7062(g)",,"6-1-1306(2)(a) 6-1-1306(2)(b) 6-1-1306(2)(c) 6-1-1306(2)(d)",,,,,"Sec 2.1 Sec 2.2 Sec 2.4",,,,,,,,,,,"59.1-577.A 59.1-577.A.1 59.1-577.A.2 59.1-577.A.3 59.1-577.A.4 59.1-577.A.5 59.1-577.B 59.1-577.B.1 59.1-577.B.2 59.1-577.B.3 59.1-577.B.4 59.1-577.B.5 59.1-577.C",,,,,"Art 18.1 Art 18.2 Art 18.3 Art 19 Art 21.1 Art 21.6 Art 22 Art 26.3",,,"Principle 2.6 Principle 2.7.a.i Principle 2.7.a.ii Principle 2.7.a.iii Principle 2.7.b Principle 2.7.c Principle 2.7.d",,,Art 21,,,,,,,,"Sec 14 Sec 15 Sec 17",,,,Sec 9,40(1)(b),,,"2.8 2.8(a) 2.8(b) 3.1(2) 3.1(4) 3.1(5) 3.1(11)(a) 3.1(11)(b) 3.1(11)(c) 3.1(11)(d) 3.1(13)",,,,"Article 5.3 Article 5.4 Article 6.3",,,,,,,"Article 21 Article 21.1 Article 21.2 Article 22 Article 22.1 Article 22.2 Article 23 Article 23.x Article 24 Article 24.x Article 25 Article 25.x Article 26 Article 26.1 Article 26.2 Article 26.3 Article 26.4 Article 26.5 Article 26.6 Article 26.7 Article 26.8 Article 27.1 Article 27.2 Article 27.3 Article 27.4 Article 27.5 Article 27.6 Article 27.7",,,Art 26,,,,,,,,,,"Article 12(4) Article 18(3)",,,,APP Part 13,"APP 12 APP 13",,,,,,,"Article 45 Article 46 Article 50",,,,"Article 27(3) Article 28(2) Article 28(2)(i) Article 28(2)(ii) Article 28(2)(iii) Article 28(3) Article 28(4) Article 28(5) Article 31 Article 32(1) Article 32(2) Article 32(3) Article 32(4)",,,,,,,,,,Art 37,,,"Art 16.2 Art 16.6",Sec 11,,"Art 18 Art 19 Art 21",,,,,"Art 12 Art 15",,Art 30,Art 10,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Right to Erasure,PRI-06.5,"Mechanisms exist to erase personal data of a data subject, without delay.",,,"Does the organization erase personal data of a data subject, without delay?",5,Respond,,X,,"There is no evidence of a capability to erase personal data of an individual, without delay.","SP-CMM1 is N/A, since a structured process is required to erase personal data of an individual, without delay.","SP-CMM2 is N/A, since a well-defined process is required to erase personal data of an individual, without delay.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies empower data subjects to edit and/ or revoke authorizations for the organization to collect, store, processes, transmit share or use their PD. • Up on legitimate request, administrative processes exist to erase PD of an individual, without undue delay.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to erase personal data of an individual, without delay.",,P4.3-POF1,,,,,,,,,,,,,,,,,,,,,7.3.6,,,,,,,,CT.DM-P4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.6.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7022(a) 7022(b)(1) 7022(b)(2) 7022(b)(3) 7022(c)(1) 7022(c)(2) 7022(c)(3) 7022(c)(4) 7022(d) 7022(e) 7022(f)(1) 7022(f)(2) 7022(f)(3) 7022(f)(4) 7022(g) 7022(h)",,6-1-1306(1)(d),,,,,,,,,,,,,,,,59.1-577.A.3,,,,,"Art 17.1 Art 17.2 Art 17.3",,,Principle 2.6,,,,,,,,,,,,,,,,"26(e) 40(1)(b) 40(2)(b) 40(3)",,,3.1(13),,,,Article 5.3,,,,,,,"Article 30 Article 30.x Article 32 Article 32.1 Article 32.2",,,,,,,,,,,,,"Article 17(1) Article 17(1)(a) Article 17(1)(b) Article 17(1)(c) Article 17(1)(d) Article 17(1)(e) Article 17(1)(f)",,,,,,,,,,,,"Article 47 Article 47(1) Article 47(2) Article 47(3) Article 47(4) Article 47(5) Article 49",,,,"Article 30(1) Article 30(2) Article 30(3) Article 30(4) Article 30(5) Article 30(6) Article 30(7) Article 33(1) Article 33(2) Article 34 Article 34(1) Article 34(2) Article 34(3) Article 35(1) Article 35(2)",,,,,,,,,,,,,"Art 16.5 Art 16.7",,,"Art 18.4 Art 18.6",,,,,,,,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Portability,PRI-06.6,"Mechanisms exist to export Personal Data (PD) in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance.",,,"Does the organization export Personal Data (PD) in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance?",3,Identify,,X,X,"There is no evidence of a capability to export Personal Data (PD) in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance.","SP-CMM1 is N/A, since a structured process is required to export Personal Data (PD) in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to export Personal Data (PD) in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to export Personal Data (PD) in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance.",,P6.7-POF2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"ID.DE-P4 CT.DM-P2 CT.DM-P6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.6.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6-1-1306(1)(e),,,,,,,,,,,,,,,,59.1-577.A.4,,,,,"Art 20.1 Art 20.2 Art 20.3 Art 20.4",,,,,,,,,,,,,,,,,,,"38(1) 38(2) 38(3) 38(4) 38(5)(a) 38(5)(b) 38(6) 38(7)",,,"3.1(6) 3.1(14) 3.1(14)(a) 3.1(14)(b) 3.1(14)(c) 3.1(15)",,,,Article 6.3,,,,,4-2-3-1,,"Article 21 Article 22 Article 36 Article 36.1 Article 36.2",,,,,,,,,,,,,"Article 20(1) Article 20(1)(a) Article 20(1)(b) Article 20(2)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 15.1 Art 15.2 Art 15.3",,,"Art 18.5 Art 40",,,,,,,,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Personal Data Exportability,PRI-06.7,Mechanisms exist to digitally export Personal Data (PD) in a secure manner upon request by the data subject.,,,Does the organization digitally export Personal Data (PD) in a secure manner upon request by the data subject?,5,Identify,,X,,There is no evidence of a capability to digitally export Personal Data (PD) in a secure manner up on request by the data subject.,"SP-CMM1 is N/A, since a structured process is required to digitally export Personal Data (PD) in a secure manner up on request by the data subject.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Administrative processes and technologies export PD in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes and technologies export PD in a structured, commonly used and machine-readable format that allows the data subject to transmit the data to another controller without hindrance.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to digitally export Personal Data (PD) in a secure manner up on request by the data subject.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to digitally export Personal Data (PD) in a secure manner up on request by the data subject.",,P6.7-POF2,,,,,,,,,,,,,,,,,,,,,7.3.8,,,,,,,,"CT.DM-P2 CT.DM-P6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.6.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6-1-1306(1)(e),,,,,,,,,,,,,,,,59.1-577.A.4,,,,,,,,,,,,,,,,,,,,,,,,"38(1) 38(2) 38(3) 38(4) 38(5)(a) 38(5)(b) 38(6) 38(7)",,,"3.1(6) 3.1(14) 3.1(14)(a) 3.1(14)(b) 3.1(14)(c)",,,,Article 6.3,,,,,,,"Article 21 Article 22",,,,,,,,,,,,,,,,,,,,,,,,,Article 45,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Information Sharing With Third Parties,PRI-07,Mechanisms exist to disclose Personal Data (PD) to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the data subject. ,- Veris (incident sharing) (http://veriscommunity.net),"E-PRI-05 E-TPM-01",Does the organization disclose Personal Data (PD) to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the data subject? ,9,Identify,X,X,,There is no evidence of a capability to disclose Personal Data (PD) to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the data subject. ,"SP-CMM1 is N/A, since a structured process is required to disclose Personal Data (PD) to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the data subject. ","SP-CMM2 is N/A, since a well-defined process is required to disclose Personal Data (PD) to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the data subject. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist disclose PD to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the individual. • Administrative processes exist include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to disclose Personal Data (PD) to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the data subject. ",P6.1,P6.1-POF1,,,,,,,,DSP-13,,,"7.2.1 7.2.2 7.2.3",,,,,,18.1.4,5.33,18.1.4,A.5.1,"7.4.9 7.5 8.4.3 8.5.1 8.5.7",,,,"T1213, T1213.001, T1213.002",,,,CT.PO-P2,,,,UL-2,,,,AC-21,,,AC-21,AC-21,,,,AC-21,AC-21,,AC-21,,,AC-21,AC-21,,,,,,,,,,,,,,,,,,,,,,P.5.4.1,"2.5A 2.11A",,,,,,"COMP:SG1.SP3 COMP:SG3.SP1 EXD:SG3.SP1 OTA:SG3.SP2",,"5.1.1.2 5.1.1.3 5.1.1.4 5.1.1.5 5.1.1.6 5.1.1.7 5.1.1.8 5.1.4",,,,,,,UL-2,,,,,,,,,,,,,,,,,,§ 1232g,,,,,,,,,"1.9.4 AC-21",,,,,,Principle 3,,,5.1,,,,,45.48.420 45.48.430,,"7012(g) 7012(g)(1) 7012(g)(2) 7012(g)(3)(A) 7012(g)(3)(B) 7012(g)(3)(C) 7022(c)(3) 7022(c)(4) 7050(a)(1) 7050(a)(2) 7050(a)(3) 7050(a)(3)(A) 7050(a)(3)(B) 7050(a)(4) 7050(a)(5) 7050(b) 7050(b)(1) 7050(b)(2) 7050(c) 7050(d) 7050(e) 7050(f) 7050(g) 7051(a)(1) 7051(a)(2) 7051(a)(3) 7051(a)(4) 7051(a)(5) 7051(a)(6) 7051(a)(7) 7051(a)(8) 7051(a)(9) 7051(a)(10) 7051(b) 7051(c) 7052(a) 7052(b) 7053(a)(1) 7053(a)(2) 7053(a)(3) 7053(a)(4) 7053(a)(5) 7053(a)(6) 7053(b)",,"6-1-1305(7) 6-1-1305(8)(a) 6-1-1305(8)(b) 6-1-1307(2) 6-1-1307(3)",,,,,,,,,,,,,,,,"59.1-577.A.5 59.1-577.A.5(i) 59.1-577.A.5(ii) 59.1-577.A.5(iii)",,,,,"Art 6.1 Art 6.4 Art 15.2 Art 20.2 Art 26.1 Art 26.2 Art 26.3 Art 44 Art 45.1 Art 45.2 Art 46.1 Art 46.2 Art 46.3 Art 47.1 Art 47.2 Art 48 Art 49.1 Art 49.2 Art 49.6",,,"Principle 2.3.a Principle 2.3.b(i) Principle 2.3.b(ii) Principle 2.3.b(iii) Principle 2.3.b(iv) Principle 2.3.b(v) Principle 2.3.b(vi) Principle 2.7.d",Sec 10,,"Art 14 Art 27",,,,,,,,,,10.5,,,"25(h) 42(2)(a) 42(2)(b) 42(3)",,,2.4(b),,,,,,,,,,,Article 5,,"Sec 18 Sec 28 Sec 30 Sec 31",,,,,,,,,,,Article 15(2),,,,,"APP 7 APP 8",,,,,,,"Article 20 Article 21 Article 22 Article 27 Article 38(3) Article 41 Article 42 Article 49",,,,"Article 23(1)(i) Article 23(1)(ii) Article 23(1)(iii) Article 23(1)(iv) Article 23(2) Article 23(2)(i) Article 23(2)(ii) Article 23(2)(iii) Article 23(2)(iv) Article 23(2)(v) Article 23(2)(vi) Article 23(2)(vii) Article 23(2)(viii) Article 23(3) Article 23(4) Article 23(5)(i) Article 23(5)(ii) Article 23(5)(iii) Article 23(6) Article 23(1) Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 26(2) Article 26(3) Article 26(4) Article 26-2(1) Article 26-2(1)(i) Article 26-2(1)(ii) Article 26-2(2) Article 26-2(3)",18.1.4,Sec 9,,"20.1.6.C.01 20.1.6.C.02 20.1.7.C.01 20.1.7.C.02 20.1.8.C.01 20.1.9.C.01 20.1.10.C.01 20.1.10.C.02 20.1.11.C.01 20.1.12.C.01 20.1.13.C.01 20.2.3.C.01 20.2.4.C.01 20.2.5.C.01 20.2.6.C.01 20.2.6.C.02 20.2.6.C.03 20.2.7.C.01 20.2.8.C.01 20.2.9.C.01 20.2.9.C.02 20.2.9.C.03 20.2.9.C.04 20.2.10.C.01 20.2.10.C.02 20.2.11.C.01 20.2.11.C.02 20.2.11.C.03",,,Sec 26,,,"Art 17 Art 26 Art 27",,,"Art 11.1 Art 11.2 Art 11.3 Art 11.4 Art 12.1 Art 16.4",,,,,,"Sec 20 Sec 23",,Art 26,,,,"Art 17 Art 23",,,,x,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Privacy Requirements for Contractors & Service Providers ,PRI-07.1,Mechanisms exist to include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers. ,,"E-PRI-05 E-TPM-01",Does the organization include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers? ,10,Identify,X,X,X,There is no evidence of a capability to include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers. ,"SP-CMM1 is N/A, since a structured process is required to include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers. ","SP-CMM2 is N/A, since a well-defined process is required to include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist disclose PD to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the individual. • Administrative processes exist include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers. ",P6.4,P6.1-POF1,,15.4,,15.4,15.4,,,"DSP-13 IPY-04 STA-04 STA-09",CLS-04,,"4.2.3 7.2.4",,,,,,18.1.4,"5.31 5.33",18.1.4,A.7.1,"7.2.6 8.2.5 8.5.8",,,,,,,,ID.DE-P3,,,,AR-3,,,,,,,,,,,,,,,,,,,,,,,,,,"PO.1 PO.1.1 PO.1.2 PO.1.3",,GV.SC-10,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,,,,,,,,,,,P.9.2,2.8A,9.2,,,,,"AM:SG1.SP1 EXD:SG3.SP1 SC:SG1.SP2",,"5.1.1.2 5.1.1.3 5.1.1.4 5.1.1.5 5.1.1.6 5.1.1.7 5.1.1.8 5.1.4",,,,,,,AR-3,,,,,,,,,,,,,,,,,,§ 1232g,,,,,164.308(b)(3),,,,"1.9.3 1.9.5",,,,,,Principle 3,,,,,,,,,,"7012(g) 7012(g)(1) 7012(g)(2) 7012(g)(3)(A) 7012(g)(3)(B) 7012(g)(3)(C) 7050(a)(1) 7050(a)(2) 7050(a)(3) 7050(a)(3)(A) 7050(a)(3)(B) 7050(a)(4) 7050(a)(5) 7050(b) 7050(b)(1) 7050(b)(2) 7050(c) 7050(d) 7050(e) 7050(f) 7050(g) 7051(a)(1) 7051(a)(2) 7051(a)(3) 7051(a)(4) 7051(a)(5) 7051(a)(6) 7051(a)(7) 7051(a)(8) 7051(a)(9) 7051(a)(10) 7051(b) 7051(c) 7052(a) 7052(b) 7053(a)(1) 7053(a)(2) 7053(a)(3) 7053(a)(4) 7053(a)(5) 7053(a)(6) 7053(b)",,"6-1-1305(3)(b) 6-1-1305(5) 6-1-1305(5)(a) 6-1-1305(5)(b) 6-1-1305(5)(c) 6-1-1305(5)(d) 6-1-1305(5)(d)(I) 6-1-1305(5)(d)(I)(A) 6-1-1305(5)(d)(I)(B) 6-1-1305(6) 6-1-1305(7) 6-1-1307(2) 6-1-1307(3)",,,"Sec 45(a) Sec 45(b) Sec 45(c) Sec 45(d) Sec 50",,,,,,,,,,,,,"59.1-578.B 59.1-579.A 59.1-579.A.1 59.1-579.A.2 59.1-579.A.3 59.1-579.B 59.1-579.B.1 59.1-579.B.2 59.1-579.B.3 59.1-579.B.4 59.1-579.B.5 59.1-579.C 59.1-579.D 59.1-581.A.3 59.1-582.A.1 59.1-582.A.2 59.1-582.A.3 59.1-582.A.4 59.1-582.A.5 59.1-582.A.6 59.1-582.A.7 59.1-582.A.8 59.1-582.A.9 59.1-582.B.1 59.1-582.B.2 59.1-582.B.3 59.1-582.B.4 59.1-582.C 59.1-582.D 59.1-582.E 59.1-582.F 59.1-582.G 59.1-582.H",,,,,"Art 6.1 Art 6.4 Art 26.1 Art 26.2 Art 26.3 Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10 Art 29",,,"Principle 2.3.b(i) Principle 2.3.b(ii) Principle 2.3.b(iii) Principle 2.3.b(iv) Principle 2.3.b(v) Principle 2.3.b(vi) Principle 2.7.a.i Principle 2.7.a.ii Principle 2.7.a.iii Principle 2.7.b Principle 2.7.c Principle 2.7.d Principle 3.10.a.i Principle 3.10.a.ii Principle 3.10.a.ii.1 Principle 3.10.a.ii.2 Principle 3.10.a.ii.3 Principle 3.10.a.iii Principle 3.10.b.i Principle 3.10.c.i",Sec 10,,"Art 14 Art 27",,,,,,"HR-06 PI-02",,,,11.1,,,"25(h) 40(2) 40(2)(a) 40(2)(b) 40(3) 42(2)(a) 42(2)(b) 42(3)",,,"2.4(b) 2.7",,,,Article 12,,,TPC-25,,,,"Article 5 Article 11 Article 30 Article 30.x Article 32 Article 32.1 Article 32.2 Article 33 Article 45 Article 45.x Article 46",,"Sec 11 Sec 20 Sec 21",,,,,,,A4.a,,,,"Article 3 Article 28(1) Article 28(2) Article 28(3)(a) Article 28(3)(b) Article 28(3)(c) Article 28(3)(d) Article 28(3)(e) Article 28(3)(f) Article 28(3)(g) Article 28(3)(h) Article 28(4) Article 28(5) Article 28(6) Article 28(7) Article 28(8) Article 28(9) Article 28(10) Article 29",,,,,APP 7,,,,,,,"Article 20 Article 21 Article 27 Article 38(3) Article 42",,,,"Article 22 Article 23(1)(i) Article 23(1)(ii) Article 23(1)(iii) Article 23(1)(iv) Article 23(2) Article 23(2)(i) Article 23(2)(ii) Article 23(2)(iii) Article 23(2)(iv) Article 23(2)(v) Article 23(2)(vi) Article 23(2)(vii) Article 23(2)(viii) Article 23(3) Article 23(4) Article 23(5)(i) Article 23(5)(ii) Article 23(5)(iii) Article 23(6) Article 23(1) Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 26(2) Article 26(3) Article 26(4) Article 26-2(1) Article 26-2(1)(i) Article 26-2(1)(ii) Article 26-2(2) Article 26-2(3)",18.1.4,,,,"Principle 5 P5-(a) P5-(a)(i) P5-(a)(ii) P5-(a)(iii) P5-(b)",,,,,"Art 26 Art 27",,,Art 11.4,,,"Art 35 Art 39",,,"Sec 20 Sec 23",,,,,,"Art 17 Art 23",,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Joint Processing of Personal Data,PRI-07.2,Mechanisms exist to clearly define and communicate the organization's role in processing Personal Data (PD) in the data processing ecosystem. ,,"E-PRI-05 E-TPM-01",Does the organization clearly define and communicate the organization's role in processing Personal Data (PD) in the data processing ecosystem? ,5,Identify,,X,,There is no evidence of a capability to clearly define and communicate the organization's role in processing Personal Data (PD) in the data processing ecosystem. ,"SP-CMM1 is N/A, since a structured process is required to clearly define and communicate the organization's role in processing Personal Data (PD) in the data processing ecosystem. ","SP-CMM2 is N/A, since a well-defined process is required to clearly define and communicate the organization's role in processing Personal Data (PD) in the data processing ecosystem. ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist disclose PD to third-parties only for the purposes identified in the data privacy notice and with the implicit or explicit consent of the individual. • Administrative processes exist include data privacy requirements in contracts and other acquisition-related documents that establish data privacy roles and responsibilities for contractors and service providers.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to clearly define and communicate the organization's role in processing Personal Data (PD) in the data processing ecosystem. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to clearly define and communicate the organization's role in processing Personal Data (PD) in the data processing ecosystem. ",,,,,,,,,,DSP-13,,,,,,,,,,,,,"7.2.7 7.4.9 8.4.3 8.5.7",,,,,,,,ID.BE-P1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7012(g) 7012(g)(1) 7012(g)(2) 7012(g)(3)(A) 7012(g)(3)(B) 7012(g)(3)(C) 7050(a)(1) 7050(a)(2) 7050(a)(3) 7050(a)(3)(A) 7050(a)(3)(B) 7050(a)(4) 7050(a)(5) 7050(b) 7050(b)(1) 7050(b)(2) 7050(c) 7050(d) 7050(e) 7050(f) 7050(g) 7051(a)(1) 7051(a)(2) 7051(a)(3) 7051(a)(4) 7051(a)(5) 7051(a)(6) 7051(a)(7) 7051(a)(8) 7051(a)(9) 7051(a)(10) 7051(b) 7051(c) 7052(a) 7052(b) 7053(a)(1) 7053(a)(2) 7053(a)(3) 7053(a)(4) 7053(a)(5) 7053(a)(6) 7053(b)",,6-1-1305(7),,,,,,,,,,,,,,,,"59.1-579.A 59.1-579.A.1 59.1-579.A.2 59.1-579.A.3 59.1-579.B 59.1-579.B.1 59.1-579.B.2 59.1-579.B.3 59.1-579.B.4 59.1-579.B.5 59.1-579.C 59.1-579.D",,,,,,,,"Principle 2.3.b(i) Principle 2.3.b(ii) Principle 2.3.b(iii) Principle 2.3.b(iv) Principle 2.3.b(v) Principle 2.3.b(vi)",,,,,,,,,,,,,,,,"42(2)(a) 42(2)(b) 42(3)",,,,,,,,,,,,,,"Article 5 Article 11 Article 30 Article 30.x Article 32 Article 32.1 Article 32.2 Article 33 Article 43",,,,,,,,,,,,,"Article 15(2) Article 26(1) Article 26(2) Article 26(3)",,,,,,,,,,,,"Article 20 Article 21 Article 27 Article 38(3)",,,,"Article 22 Article 23(1)(i) Article 23(1)(ii) Article 23(1)(iii) Article 23(1)(iv) Article 23(2) Article 23(2)(i) Article 23(2)(ii) Article 23(2)(iii) Article 23(2)(iv) Article 23(2)(v) Article 23(2)(vi) Article 23(2)(vii) Article 23(2)(viii) Article 23(3) Article 23(4) Article 23(5)(i) Article 23(5)(ii) Article 23(5)(iii) Article 23(6) Article 23(1) Article 26(1) Article 26(1)(i) Article 26(1)(ii) Article 26(2) Article 26(3) Article 26(4) Article 26-2(1) Article 26-2(1)(i) Article 26-2(1)(ii) Article 26-2(2) Article 26-2(3)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Obligation To Inform Third-Parties,PRI-07.3,"Mechanisms exist to inform applicable third-parties of any modification, deletion or other change that affects shared Personal Data (PD).",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization inform applicable third-parties of any modification, deletion or other change that affects shared Personal Data (PD)?",5,Identify,,X,,"There is no evidence of a capability to inform applicable third-parties of any modification, deletion or other change that affects shared Personal Data (PD).","SP-CMM1 is N/A, since a structured process is required to inform applicable third-parties of any modification, deletion or other change that affects shared Personal Data (PD).","SP-CMM2 is N/A, since a well-defined process is required to inform applicable third-parties of any modification, deletion or other change that affects shared Personal Data (PD).","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist include data privacy requirements in contracts and other acquisition-related documents to inform applicable third-parties of any modification, deletion or other change that affects shared PD.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to inform applicable third-parties of any modification, deletion or other change that affects shared Personal Data (PD).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to inform applicable third-parties of any modification, deletion or other change that affects shared Personal Data (PD).",,,,,,,,,,DSP-13,,,,,,,,,,,,,"7.3.7 7.4.9 8.4.3",,,,,,,,"CM.AW-P5 CM.AW-P7",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.6.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7022(c)(3) 7022(c)(4) 7050(a)(1) 7050(a)(2) 7050(a)(3) 7050(a)(3)(A) 7050(a)(3)(B) 7050(a)(4) 7050(a)(5) 7050(b) 7050(b)(1) 7050(b)(2) 7050(c) 7050(d) 7050(e) 7050(f) 7050(g) 7051(a)(1) 7051(a)(2) 7051(a)(3) 7051(a)(4) 7051(a)(5) 7051(a)(6) 7051(a)(7) 7051(a)(8) 7051(a)(9) 7051(a)(10) 7051(b) 7051(c) 7052(a) 7052(b) 7053(a)(1) 7053(a)(2) 7053(a)(3) 7053(a)(4) 7053(a)(5) 7053(a)(6) 7053(b)",,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 2.3.b(i) Principle 2.3.b(ii) Principle 2.3.b(iii) Principle 2.3.b(iv) Principle 2.3.b(v) Principle 2.3.b(vi)",,,,,,,,,,,,,,,,"40(2) 40(2)(a) 40(2)(b) 40(3)",,,3.1(10),,,,,,,,,,,"Article 30 Article 30.x Article 32 Article 32.1 Article 32.2 Article 33",,,,,,,,,,,,,,,,,,,,,,,,,Article 46,,,,"Article 22 Article 23(1)(i) Article 23(1)(ii) Article 23(1)(iii) Article 23(1)(iv) Article 23(2) Article 23(2)(i) Article 23(2)(ii) Article 23(2)(iii) Article 23(2)(iv) Article 23(2)(v) Article 23(2)(vi) Article 23(2)(vii) Article 23(2)(viii) Article 23(3) Article 23(4) Article 23(5)(i) Article 23(5)(ii) Article 23(5)(iii) Article 23(6) Article 23(1)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Reject Unauthorized Disclosure Requests,PRI-07.4,Mechanisms exist to reject unauthorized disclosure requests.,- Authorized Agent,,Does the organization reject unauthorized disclosure requests?,5,Identify,,X,,There is no evidence of a capability to reject unauthorized disclosure requests.,"SP-CMM1 is N/A, since a structured process is required to reject unauthorized disclosure requests.","SP-CMM2 is N/A, since a well-defined process is required to reject unauthorized disclosure requests.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The CPO and DPO establish criteria for when it is necessary to reject a disclosure requests (e.g., unauthorized / fraudulent request).","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to reject unauthorized disclosure requests.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to reject unauthorized disclosure requests.",,"P5.1-POF4 P5.2-POF1 P5.2-POF3",,,,,,,,"DSP-11 DSP-18",,,,,,,,,,,,,"8.2.4 8.5.5",,,,,,,,CT.DM-P1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.5.6.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7023(h),,6-1-1306(1),,,,,,,,,,,,,,,,59.1-577.B.4,,,,,,,,"Principle 3.8.c.i Principle 3.8.c.ii Principle 3.8.e.i Principle 3.8.e.i.1 Principle 3.8.e.i.2 Principle 3.8.e.i.3 Principle 3.8.e.i.4 Principle 3.8.e.i.5 Principle 3.8.c.ii Principle 3.8.f.i Principle 3.8.f.ii Principle 3.8.f.iii Principle 3.8.g.i Principle 3.8.h.i",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 21.2 Article 22.2",,,,,,,,,,,,,Article 12(6),,,,,,,,,,,,"Article 45 Article 46 Article 49",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-SA-1",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,"Testing, Training & Monitoring",PRI-08,"Mechanisms exist to conduct cybersecurity & data privacy testing, training and monitoring activities ",,,"Does the organization conduct cybersecurity & data privacy testing, training and monitoring activities ",8,Identify,X,X,,"There is no evidence of a capability to conduct cybersecurity & data privacy testing, training and monitoring activities ","SP-CMM1 is N/A, since a structured process is required to conduct cybersecurity & data privacy testing, training and monitoring activities ","SP-CMM2 is N/A, since a well-defined process is required to conduct cybersecurity & data privacy testing, training and monitoring activities ","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist address the use of PD for internal testing, training and research that complies with applicable statutory, regulatory and contractual obligations. ","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct cybersecurity & data privacy testing, training and monitoring activities ","P6.5 P8.0",P8.1-POF6,,,,,,,,,,,"1.2.6 10.2.3 10.2.4 10.2.5",,,,,,"18.2.2 18.2.3","5.36 8.8","18.2.2 18.2.3",A.10.3,"6.15.2.2 6.15.2.3",,,,,,,,,,,,AR-4,,,,PM-14,PM-14,,,,,,,,,,PM-14,,,PM-14,PM-14,,,,,,,,,,,,,,,,,,,,,,E.1.6.1,,,,,,,"COMP:SG3.SP1 COMP:SG3.SP3 EXD:SG4.SP1 IMC:SG2.SP1",,,,,,,,,AR-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PM-14,,,,,,,,,"Art 32.1 Art 32.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 19,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.2.2 18.2.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Personal Data Lineage,PRI-09,"Mechanisms exist to utilize a record of processing activities to maintain a record of Personal Data (PD) that is stored, transmitted and/or processed under the organization's responsibility.",The organization should determine and securely maintain the necessary records in support of its obligations for the processing of PD.,,"Does the organization utilize a record of processing activities to maintain a record of Personal Data (PD) that is stored, transmitted and/or processed under the organization's responsibility?",5,Identify,,X,,"There is no evidence of a capability to utilize a record of processing activities to maintain a record of Personal Data (PD) that is stored, transmitted and/ or processed under the organization's responsibility.","SP-CMM1 is N/A, since a structured process is required to utilize a record of processing activities to maintain a record of Personal Data (PD) that is stored, transmitted and/ or processed under the organization's responsibility.","SP-CMM2 is N/A, since a well-defined process is required to utilize a record of processing activities to maintain a record of Personal Data (PD) that is stored, transmitted and/ or processed under the organization's responsibility.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a record of processing activities to maintain a record of Personal Data (PD) that is stored, transmitted and/ or processed under the organization's responsibility.",,,,,,,,,,,DAT-03,,,,,,,,,,,,"7.2.8 8.2.6 8.5.3",,,,,,,,"CM.AW-P4 CM.AW-P6",,,,,,,,SA-4(12),,,,,SA-4(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.5.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-4(12),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 30.1 Art 30.2 Art 30.3 Art 30.4 Art 30.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Quality Management,PRI-10,"Mechanisms exist to issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination and de-identification of Personal Data (PD) across the information lifecycle.",,,"Does the organization issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination and de-identification of Personal Data (PD) across the information lifecycle?",5,Identify,X,X,,"There is no evidence of a capability to issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination and de-identification of Personal Data (PD) across the information lifecycle.","SP-CMM1 is N/A, since a structured process is required to issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination and de-identification of Personal Data (PD) across the information lifecycle.","SP-CMM2 is N/A, since a well-defined process is required to issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination and de-identification of Personal Data (PD) across the information lifecycle.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • A Chief Data Officer (CDO), or similar function, oversees processes to ensure the quality, utility, objectivity, integrity, impact determination and de-identification of PD across the information lifecycle, including methods to identify and eliminate potential biases.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination and de-identification of Personal Data (PD) across the information lifecycle.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to issue guidelines ensuring and maximizing the quality, utility, objectivity, integrity, impact determination and de-identification of Personal Data (PD) across the information lifecycle.","P7.0 P7.1","P7.1-POF1 P7.1-POF2",,,,,,,,,,,9.2.1,,,,,,,,,,7.4.3,5.7,,,,,,,"CT.PO-P4 CT.DM-P8",,,,,,,,"PM-22 PM-23 PM-24",PM-24,,,,"PM-22 PM-23",,,,,,"PM-22 PM-23",,,"PM-22 PM-23",PM-22,,,,,,,,,,,,,,,,,,,,,,P.5.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 5.4 Article 11",,Sec 4,,,,,,,,,,,,,,,,,,,,,,,Article 8,,,,,,,,,,,,,,,,,,,,Art 6.5,,,,,,,,,Art 7,,,,x,,x,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Automation,PRI-10.1,Automated mechanisms exist to support the evaluation of data quality across the information lifecycle.,,,Does the organization use automated mechanisms to support the evaluation of data quality across the information lifecycle?,1,Identify,,X,X,There is no evidence of a capability to support the evaluation of data quality across the information lifecycle.,"SP-CMM1 is N/A, since a structured process is required to support the evaluation of data quality across the information lifecycle.","SP-CMM2 is N/A, since a well-defined process is required to support the evaluation of data quality across the information lifecycle.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to support the evaluation of data quality across the information lifecycle.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to support the evaluation of data quality across the information lifecycle.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PT-3(2),,,,,PT-3(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 5.1 Art 21.5 Art 22",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Data Privacy,Data Analytics Bias,PRI-10.2,Mechanisms exist to evaluate its analytical processes for potential bias.,,,Does the organization evaluate its analytical processes for potential bias?,5,Identify,,X,,There is no evidence of a capability to evaluate its analytical processes for potential bias.,"SP-CMM1 is N/A, since a structured process is required to evaluate its analytical processes for potential bias.","SP-CMM2 is N/A, since a well-defined process is required to evaluate its analytical processes for potential bias.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to evaluate its analytical processes for potential bias.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate its analytical processes for potential bias.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ID.RA-P2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.6.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Tagging,PRI-11,Mechanisms exist to issue data modeling guidelines to support tagging of sensitive/regulated data.,,,Does the organization issue data modeling guidelines to support tagging of sensitive/regulated data?,3,Identify,,X,X,There is no evidence of a capability to issue data modeling guidelines to support tagging of sensitive/regulated data.,"SP-CMM1 is N/A, since a structured process is required to issue data modeling guidelines to support tagging of sensitive/regulated data.","SP-CMM2 is N/A, since a well-defined process is required to issue data modeling guidelines to support tagging of sensitive/regulated data.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to issue data modeling guidelines to support tagging of sensitive/regulated data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CT.DM-P7,,,,,,,,PT-3(1),,,,,PT-3(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Updating Personal Data (PD),PRI-12,Mechanisms exist to develop processes to identify and record the method under which Personal Data (PD) is updated and the frequency that such updates occur.,,,Does the organization develop processes to identify and record the method under which Personal Data (PD) is updated and the frequency that such updates occur?,9,Identify,,X,X,There is no evidence of a capability to develop processes to identify and record the method under which Personal Data (PD) is updated and the frequency that such updates occur.,"SP-CMM1 is N/A, since a structured process is required to develop processes to identify and record the method under which Personal Data (PD) is updated and the frequency that such updates occur.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • IT/cybersecurity personnel develop and publish processes to identify and record the method under which PD is updated and the frequency that such updates occur.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The CPO and DPO develop and publish processes to identify and record the method under which PD is updated and the frequency that such updates occur.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop processes to identify and record the method under which Personal Data (PD) is updated and the frequency that such updates occur.",P5.2,P5.2-POF2,,,,,,,,,,,,,,,,,,,,,7.4.3,5.7,,,,,,,CT.DM-P3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.2.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"164.526 164.526(a) 164.526(b) 164.526(c) 164.526(d) 164.526(e) 164.526(f)",,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 2.3,,,,,,,,,,,,,,,,Art 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Management Board,PRI-13,Mechanisms exist to establish a written charter for a Data Management Board (DMB) and assigned organization-defined roles to the DMB.,- Data Management Board (DMB),,Does the organization establish a written charter for a Data Management Board (DMB) and assigned organization-defined roles to the DMB?,3,Identify,X,X,,There is no evidence of a capability to establish a written charter for a Data Management Board (DMB) and assigned organization-defined roles to the DMB.,"SP-CMM1 is N/A, since a structured process is required to establish a written charter for a Data Management Board (DMB) and assigned organization-defined roles to the DMB.","SP-CMM2 is N/A, since a well-defined process is required to establish a written charter for a Data Management Board (DMB) and assigned organization-defined roles to the DMB.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The CPO establishes a written charter for a Data Management Board (DMB) and assigns formal roles to selected stakeholders. • The CPO operates a reporting process to internal senior management, as well as external oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory data privacy program mandates.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish a written charter for a Data Management Board (DMB) and assigned organization-defined roles to the DMB.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish a written charter for a Data Management Board (DMB) and assigned organization-defined roles to the DMB.",,,,,,,,,,,,,,,,,,,,,,,7.4.3,,,,,,,,CT.DM-P8,,,,,,,,"PM-23 PM-24",PM-24,,,,PM-23,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 5.1 Art 30.1 Art 30.2 Art 30.3 Art 30.4 Art 30.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Privacy Records & Reporting,PRI-14,"Mechanisms exist to maintain data privacy-related records and develop, disseminate and update reports to internal senior management, as well as external oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory data privacy program mandates.",,,"Does the organization maintain data privacy-related records and develop, disseminate and update reports to internal senior management, as well as external oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory data privacy program mandates?",8,Identify,,X,X,"There is no evidence of a capability to maintain data privacy-related records and develop, disseminate and update reports to internal senior management, as well as external oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory data privacy program mandates.","SP-CMM1 is N/A, since a structured process is required to maintain data privacy-related records and develop, disseminate and update reports to internal senior management, as well as external oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory data privacy program mandates.","SP-CMM2 is N/A, since a well-defined process is required to maintain data privacy-related records and develop, disseminate and update reports to internal senior management, as well as external oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory data privacy program mandates.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Technologies are configured to support records management of for data subject authorizations. ","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain data privacy-related records and develop, disseminate and update reports to internal senior management, as well as external oversight bodies, as appropriate, to demonstrate accountability with specific statutory and regulatory data privacy program mandates.",CC2.3,"P8.1-POF4 P8.1-POF5",,,,,,,Principle 15,,,,"10.2.3 10.2.5",,,,,,,,,A.5.2,,,,,,,,,"CM.AW-P4 CM.AW-P6 CM.AW-P7",,M-5,,AR-6,,,,PM-27,PM-27,,,,,,,,,,PM-27,,,,PM-27,PM-27,,,,,,,,,,,,,,,,,,,,,L.1,,,,,,,"COMP:SG3.SP2 MON:SG2.SP3 MON:SG2.SP4",,,,,,,,,AR-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7101(a) 7101(b) 7101(c) 7101(d) 7101(e) 7102(a)(1)(A) 7102(a)(1)(B) 7102(a)(1)(C) 7102(a)(1)(D) 7102(a)(1)(E) 7102(a)(1)(F) 7102(a)(2) 7102(b)",,,,,,,,,,,,,,,,,,,,,,,Art 31,,,,,,,,,,,,,,,,,,,,Art 3,,,,,,Article 6.2,,,,,,,"Article 47 Article 47.x Article 48 Article 52 Article 52.1 Article 52.2 Article 52.3 Article 52.4",,,,,,,,,,,,,"Article 30(1) Article 30(1)(a) Article 30(1)(b) Article 30(1)(c) Article 30(1)(d) Article 30(1)(e) Article 30(1)(f) Article 30(1)(g) Article 30(2) Article 30(2)(a) Article 30(2)(b) Article 30(2)(c) Article 30(2)(d) Article 30(3) Article 30(4) Article 30(5)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 38,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Accounting of Disclosures,PRI-14.1,"Mechanisms exist to develop and maintain an accounting of disclosures of Personal Data (PD) held by the organization and make the accounting of disclosures available to the person named in the record, upon request.",,E-PRI-01,"Does the organization develop and maintain an accounting of disclosures of Personal Data (PD) held by the organization and make the accounting of disclosures available to the person named in the record, upon request?",8,Identify,X,X,,"There is no evidence of a capability to develop and maintain an accounting of disclosures of Personal Data (PD) held by the organization and make the accounting of disclosures available to the pers on named in the record, up on request.","SP-CMM1 is N/A, since a structured process is required to develop and maintain an accounting of disclosures of Personal Data (PD) held by the organization and make the accounting of disclosures available to the pers on named in the record, up on request.","SP-CMM2 is N/A, since a well-defined process is required to develop and maintain an accounting of disclosures of Personal Data (PD) held by the organization and make the accounting of disclosures available to the pers on named in the record, up on request.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The CPO and DPO develop a process for maintaining an accounting of disclosures of PD held by the organization and make the accounting of disclosures available to the pers on named in the record, up on request.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop and maintain an accounting of disclosures of Personal Data (PD) held by the organization and make the accounting of disclosures available to the pers on named in the record, up on request.","P6.2 P6.3","P6.2-POF1 P6.3-POF1",,,,,,,,DSP-18,,,"7.2.1 7.2.4",,,,,,,,,,"7.2.8 7.5.3 7.5.4",,,,,,,,CM.AW-P4,,,,AR-8,,,,PM-21,PM-21,,,,,,,,,,PM-21,,,PM-21,PM-21,,,,,,,,,,,,,,,,,,,,,,P.5.5.6.12,,,,,,,"COMP:SG3.SP1 KIM:SG4.SP2 KIM:SG4.SP3",,,,,,,,,AR-8,,,,,,,,,,,,,,,,,,,,,,,"164.528 164.528(a) 164.528(b) 164.528(c) 164.528(d)",,,,"2.A.4 2.D.4 PM-21",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 30.1 Art 30.2 Art 30.3 Art 30.4 Art 30.5",,,,,,,,,,,,,,,,,,,,,,,,,,Article 6.2,,,,,,,Article 33,,Sec 17,,,,,,,,,,,Article 15(2),,,,,,,,,,,,,,,,"Article 25(1) Article 25(2)",,,,,,Sec 20,,,,,,,,,,"Art 18.7 Art 37",,,,,,,,,,,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-3 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,R-IR-3,,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Notification of Disclosure Request To Data Subject,PRI-14.2,Mechanisms exist to notify data subjects of applicable legal requests to disclose Personal Data (PD).,,,Does the organization notify data subjects of applicable legal requests to disclose Personal Data (PD)?,5,Identify,,X,,There is no evidence of a capability to notify data subjects of applicable legal requests to disclose Personal Data (PD).,"SP-CMM1 is N/A, since a structured process is required to notify data subjects of applicable legal requests to disclose Personal Data (PD).","SP-CMM2 is N/A, since a well-defined process is required to notify data subjects of applicable legal requests to disclose Personal Data (PD).","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to notify data subjects of applicable legal requests to disclose Personal Data (PD).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to notify data subjects of applicable legal requests to disclose Personal Data (PD).",,,,,,,,,,DSP-18,,,,,,,,,,,,,8.5.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.9.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 6.2,,,,,,,"Article 33 Article 35",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-3 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Register As A Data Controller and/or Data Processor,PRI-15,"Mechanisms exist to register as a data controller and/or data processor, including registering databases containing Personal Data (PD) with the appropriate Data Authority, when necessary.",,E-PRI-03,"Does the organization register as a data controller and/or data processor, including registering databases containing Personal Data (PD) with the appropriate Data Authority, when necessary?",3,Identify,,X,,"There is no evidence of a capability to register databases containing Personal Data (PD) with the appropriate Data Authority, when necessary.","SP-CMM1 is N/A, since a structured process is required to register databases containing Personal Data (PD) with the appropriate Data Authority, when necessary.","SP-CMM2 is N/A, since a well-defined process is required to register databases containing Personal Data (PD) with the appropriate Data Authority, when necessary.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Administrative processes exist register databases containing PD with the appropriate Data Authority, when necessary.","Privacy (PRI) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to register databases containing Personal Data (PD) with the appropriate Data Authority, when necessary.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.1.6.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"§ 2446(a) § 2446(a)(1) § 2446(a)(2) § 2446(a)(3) § 2446(a)(3)(A) § 2446(a)(3)(B) § 2446(a)(3)(B)(i) § 2446(a)(3)(B)(ii) § 2446(a)(3)(B)(iii) § 2446(a)(3)(C) § 2446(a)(3)(D) § 2446(a)(3)(E) § 2446(a)(3)(F) § 2446(a)(3)(G)",,,,Art 30.4,,,,"Sec 16 Sec 17",Art 17,Art 16,Art 50,Sec 36,Art 25,"Sec 4d Sec 4e",,,Art 6,"Sec 65 Sec 66",Sec 17,,"Sec 8 Sec 9","Sec 26 Sec 37","18(1) 18(2) 18(2)(a) 18(2)(b) 18(2)(c) 18(2)(d) 19(1) 19(2) 19(2)(a) 19(2)(b) 19(2)(c) 19(2)(d) 19(2)(e) 19(2)(f) 19(2)(g) 19(3) 19(4) 19(5) 19(6) 19(7) 20",,Sec 30,,Sec 33,Art 40,,,Art 23,,,,,,,,,Art 60,,Sec 36,Art 11,Art 16,Sec 19,,,,,,,,,,,,,,,,,,Sec 15,,"Art 5 Art 37",,,"Sec 14 Sec 15",,,,"Sec 46 Sec 47 Sec 48",Sec 39,,,Art 32,,Art 21,"Art 21.1 Art 21.2 Art 21.3 Art 24",,,,,,,,Art 25,Art 21,,Art 29,"Art 6 Art 29",,,,x,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-IR-3 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,,,,,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Potential Human Rights Abuses,PRI-16,"Mechanisms exist to constrain the supply of physical and/or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/or contractual obligations.",- Board of Directors (Bod) Ethics Committee,,"Does the organization constrain the supply of physical and/or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/or contractual obligations?",10,Protect,X,X,,"There is no evidence of a capability to constrain the supply of physical and/ or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/ or contractual obligations.","SP-CMM1 is N/A, since a structured process is required to constrain the supply of physical and/ or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/ or contractual obligations.","SP-CMM2 is N/A, since a well-defined process is required to constrain the supply of physical and/ or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/ or contractual obligations.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • The Chief Information Officer (CIO), Chief Information Security Officer (CISO) and CPO collaborate on methods to constrain the supply of physical and/ or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/ or contractual obligations.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to constrain the supply of physical and/ or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/ or contractual obligations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to constrain the supply of physical and/ or digital activity logs to the host government that can directly lead to contravention of the Universal Declaration of Human Rights (UDHR), as well as other applicable statutory, regulatory and/ or contractual obligations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,O.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Article 7 Article 8 Article 9 Article 11 Article 14 Article 15 Article 16 Article 18 Article 19 Article 20 Article 28 Article 31 Article 32 Article 33 Article 36 Article 37 Article 38 Article 48 Article 53",,"Article 11 Article 12 Article 18 Article 26 Article 38(4) Article 40 Article 47(5)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-4 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,,R-EX-4,,,,,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Data Subject Communications,PRI-17,"Mechanisms exist to craft disclosures and communications to data subjects such that the material is readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.",,,"Does the organization craft disclosures and communications to data subjects such that the material is readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person?",6,Protect,,X,X,"There is no evidence of a capability to craft disclosures and communications to data subjects such that the material is readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.","SP-CMM1 is N/A, since a structured process is required to craft disclosures and communications to data subjects such that the material is readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.","Privacy (PRI) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Privacy management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The data privacy program is developed to work with IT and cybersecurity staff to ensure that applicable statutory, regulatory and contractual data privacy obligations for Personal Data (PD) are properly identified and implemented across the enterprise. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for data privacy management. • A qualified individual is formally assigned as the Chief Privacy Officer (CPO), or similar role, to lead the organization’s data privacy program. This individual may be assigned to multiple duties, including that as a Data Protection Officer (DPO). • The CPO, or similar role, identifies “data privacy principles” that systems, applications, services, processes and third-parties must adhere to, based on leading data privacy practices. • Communications with data subjects is designed to be readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Communications with data subjects is designed to be readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to craft disclosures and communications to data subjects such that the material is readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to craft disclosures and communications to data subjects such that the material is readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7003(a) 7003(b)(1) 7003(b)(2) 7003(b)(3) 7011(c) 7102(a)(2)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Conspicuous Link To Data Privacy Notice,PRI-17.1,Mechanisms exist to include a conspicuous link to the organization's data privacy notice on all consumer-facing websites and mobile applications.,,,Does the organization include a conspicuous link to the organization's data privacy notice on all consumer-facing websites and mobile applications?,4,Protect,,X,X,There is no evidence of a capability to include a conspicuous link to the organization's data privacy notice on all consumer-facing websites and mobile applications.,"SP-CMM1 is N/A, since a structured process is required to include a conspicuous link to the organization's data privacy notice on all consumer-facing websites and mobile applications.","SP-CMM2 is N/A, since a well-defined process is required to include a conspicuous link to the organization's data privacy notice on all consumer-facing websites and mobile applications.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects. • Communications with data subjects is designed to be readily accessible and written in a manner that is concise, unambiguous and understandable by a reasonable person.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to include a conspicuous link to the organization's data privacy notice on all consumer-facing websites and mobile applications.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include a conspicuous link to the organization's data privacy notice on all consumer-facing websites and mobile applications.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7003(c) 7003(d) 7010(d) 7010(e) 7011(d)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Data Privacy,Notice of Financial Incentive,PRI-17.2,"Mechanisms exist to provide data subjects with a Notice of Financial Incentive that explains the material terms of a financial incentive, price or service difference so the data subject can make an informed decision about whether to participate.",,,"Does the organization provide data subjects with a Notice of Financial Incentive that explains the material terms of a financial incentive, price or service difference so the data subject can make an informed decision about whether to participate?",2,Identify,,,X,"There is no evidence of a capability to provide data subjects with a Notice of Financial Incentive that explains the material terms of a financial incentive, price or service difference so the data subject can make an informed decision about whether to participate.","SP-CMM1 is N/A, since a structured process is required to provide data subjects with a Notice of Financial Incentive that explains the material terms of a financial incentive, price or service difference so the data subject can make an informed decision about whether to participate.","SP-CMM2 is N/A, since a well-defined process is required to provide data subjects with a Notice of Financial Incentive that explains the material terms of a financial incentive, price or service difference so the data subject can make an informed decision about whether to participate.","Privacy (PRI) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Privacy program, run by a Chief Privacy Officer (CPO), or similar role, ensures that applicable statutory, regulatory and contractual data privacy obligations are properly identified and implemented to limit and secure Personal Data (PD) that the organization stores, transmits and processes. • A data privacy team oversees the centralized-management of physical security controls across the enterprise. • Data Protection Officers (DPOs) are assigned to work closely with business units and project teams to ensure data privacy principles are being implemented. • CPO and DPO determine and document the legal authority that permits the collection, use, maintenance and sharing of PD, either generally or in support of a specific program or system need. • As part of the organization’s data privacy program, the CPO publishes a clear set of “data privacy principles”, based on leading data privacy practices, that systems, applications, services, processes and third-parties must adhere to. • A Project Management Office (PMO), or project management function, ensures both cybersecurity & data privacy principles are identified and implemented within ongoing or planned projects.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide data subjects with a Notice of Financial Incentive that explains the material terms of a financial incentive, price or service difference so the data subject can make an informed decision about whether to participate.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide data subjects with a Notice of Financial Incentive that explains the material terms of a financial incentive, price or service difference so the data subject can make an informed decision about whether to participate.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"7010(d) 7013(a) 7013(b) 7013(c) 7013(d) 7013(e) 7013(e)(1) 7013(e)(2) 7013(e)(3) 7013(e)(3)(A) 7013(e)(3)(B) 7013(f)(1) 7013(f)(2) 7013(g)(1) 7013(g)(1) 7013(h) 7080(a) 7080(b) 7080(c) 7080(d)(1) 7080(d)(2) 7080(d)(3) 7080(d)(4) 7080(e) 7080(f) 7080(g) 7081(a) 7081(a)(1) 7081(a)(2) 7081(a)(3) 7081(a)(4) 7081(a)(5) 7081(a)(6) 7081(a)(7) 7081(a)(8) 7081(b)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Project & Resource Management,Cybersecurity & Data Privacy Portfolio Management,PRM-01,Mechanisms exist to facilitate the implementation of cybersecurity & data privacy-related resource planning controls that define a viable plan for achieving cybersecurity & data privacy objectives.,,E-PRM-02,Does the organization facilitate the implementation of cybersecurity & data privacy-related resource planning controls that define a viable plan for achieving cybersecurity & data privacy objectives?,8,Identify,X,X,,There is no evidence of a capability to facilitate the implementation of cybersecurity & data privacy-related resource planning controls that define a viable plan for achieving cybersecurity & data privacy objectives.,"Project & Resource Management (PRM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives and resourcing of the security function, based on broader business requirements.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for program/project management practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise with regards to program/project management. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for program/project management. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including program/project management. • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the implementation of cybersecurity & data privacy-related resource planning controls that define a viable plan for achieving cybersecurity & data privacy objectives.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of cybersecurity & data privacy-related resource planning controls that define a viable plan for achieving cybersecurity & data privacy objectives.","CC2.2 CC3.1 CC3.4 CC5.2 P5.0",CC3.1-POF4,8.2,,,,,"EDM02.01 EDM02.02 EDM02.03 EDM02.04 EDM04.01 EDM04.02 EDM04.03 APO05.01 APO05.02 APO05.03 APO05.04 APO05.05","Principle 6 Principle 9 Principle 11 Principle 14",,,,,,"RQ-05-04 RQ-05-05.a RQ-05-05.b",8.3.4,6.1.1,5.1(e),6.1.5 ,"5.4 5.8",6.1.5,,6.3.1.5,,,"4.3.1 4.3.2",,,,"MANAGE 2.0 MANAGE 2.1 MANAGE 2.2",,PO.2.3,,,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,,,PL-1,PL-1,PL-1,"3.2 3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.3 3.3.1 3.3.2",PL-1,PL-1,,,PL-1,,NFO - PL-1,3.16.1,,A.03.16.01,,,,"GV.RM-07 GV.RR-03",,,,,,,,,,,,,K.1.4.1,,,11.1,,,,"EF:SG3.SP3 EF:SG4.SP1 FRM:SG1.SP2 FRM:SG2.SP1 FRM:SG2.SP2 FRM:SG2.SP3 FRM:SG4.SP2 FRM:SG5.SP1 FRM:SG5.SP2 FRM:SG5.SP3 GG2.GP3",,,,,,,,,PL-1,,,,,,,,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,PL-1,,,,,,,,,,PL-1,,,"8-101 8-311",,,,,,,PL-1,PL-1,PL-1,,,,,,,,,,,,,,,,,Sec 12,PL-1,PL-1,PL-1,,,,"3.2.1(6) 3.6.1(61) 3.6.1(62) 3.6.1(64) 3.6.1(65) 3.6.1(66)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,"2.3 7.4 7.5 8.3",,,,,17.5,,,,,,,,,,,,1-1,,,"1-1-3 1-2-3",,,,Sec 19,,9,,,,,,,,,,,,,,,"0720 0732",,25,"13 15",,,,,,,,"4.1 6.1.5",,11.1,3.2.15.C.01,,,,,"5.1.1 5.1.2 5.1.3 5.1.4",,,,,,,,"1.1 6.22","1.2.1 2.3.1",,,,,,,,,,,x,,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Strategic Plan & Objectives,PRM-01.1,Mechanisms exist to establish a strategic cybersecurity & data privacy-specific business plan and set of objectives to achieve that plan.,,E-PRM-01,Does the organization establish a strategic cybersecurity & data privacy-specific business plan and set of objectives to achieve that plan?,5,Identify,X,,,There is no evidence of a capability to establish a strategic cybersecurity & data privacy-specific business plan and set of objectives to achieve that plan.,"SP-CMM1 is N/A, since a structured process is required to establish a strategic cybersecurity & data privacy-specific business plan and set of objectives to achieve that plan.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives and resourcing of the security function, based on broader business requirements.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish a strategic cybersecurity & data privacy-specific business plan and set of objectives to achieve that plan.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish a strategic cybersecurity & data privacy-specific business plan and set of objectives to achieve that plan.",,,8.1,,,,,"APO01.01 APO01.02 APO01.03 APO02.02 APO02.05 APO02.06",,,,,,,,,,,,,,,,,,,,,Sec 4(D)(2)(b),"MAP 1.3 MAP 1.4",,PO.2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.RM-04 GV.RM-07",,,,,,,,,,,,,C.5.6,,,,,,"PROGRAM-1.A.MIL1 PROGRAM-1.B.MIL2 PROGRAM-1.C.MIL2 PROGRAM-1.D.MIL2 PROGRAM-1.E.MIL2 PROGRAM-1.F.MIL2 PROGRAM-1.G.MIL2 PROGRAM-1.H.MIL3 ",EF:SG1.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,38-99-20(D)(2)(b),,,,,,,,,"3.2.1(4) 3.2.1(5)(a) 3.2.1(5)(b) 3.2.1(5)(c)","Art 6.8 Art 6.8(a) Art 6.8(b) Art 6.8(c) Art 6.8(d) Art 6.8(e) Art 6.8(f) Art 6.8(g) Art 6.8(h)",,,,,,,,,,,,,"1.1 1.2 1.2(a) 1.2(b) 1.2(c) 1.2(d) 1.2(e) 1.2(f)",,,,,,,,,,,,,,,,,"1-1 1-1-1",,3.1.2,"1-1-1 1-1-2",,,,,,,,,,,A1.a,,,,,,,,,,"0039 0720",,,"13 15",,,,,,,,"4.1 5.1 5.1.1 5.1.2",,,"2.3.25.C.01 2.3.25.C.02 2.3.29.C.01",,,,,"3.1.4 3.1.5",,,,,,,,"1.1 6.7","1.2 1.2.1",,,,,,,,,,,,NAIC,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Targeted Capability Maturity Levels,PRM-01.2,Mechanisms exist to define and identify targeted capability maturity levels.,,E-PRM-04,Does the organization define and identify targeted capability maturity levels?,5,Identify,X,X,,There is no evidence of a capability to define and identify targeted capability maturity levels.,"SP-CMM1 is N/A, since a structured process is required to define and identify targeted capability maturity levels.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians. • The Chief Information Officer (CIO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives and resourcing of the security function, based on broader business requirements. • IT/cybersecurity personnel develop plans to implement security-related objectives, based on defined capability maturity levels (e.g., SCF SP-CMM).","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define and identify targeted capability maturity levels.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define and identify targeted capability maturity levels.",,CC5.1-POF5,8.2,,,,,"APO02.03 APO02.05",,,,,,,,,,,,,,,,,,,,,,MAP 1.4,,PO.2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,G.2.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,15,,,,,,,,,,,,,,,,,,,,,,,,6.7,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Cybersecurity & Data Privacy Resource Management,PRM-02,"Mechanisms exist to address all capital planning and investment requests, including the resources needed to implement the cybersecurity & data privacy programs and document all exceptions to this requirement. ",,E-PRM-02,"Does the organization address all capital planning and investment requests, including the resources needed to implement the cybersecurity & data privacy programs and document all exceptions to this requirement? ",8,Identify,X,X,X,"There is no evidence of a capability to address all capital planning and investment requests, including the resources needed to implement the cybersecurity & data privacy programs and document all exceptions to this requirement. ","Project & Resource Management (PRM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels.","Project & Resource Management (PRM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address all capital planning and investment requests, including the resources needed to implement the cybersecurity & data privacy programs and document all exceptions to this requirement. ",CC1.4,,5,,,,,"EDM02.01 EDM02.02 EDM02.03 EDM02.04 EDM04.01 EDM04.02 EDM04.03",Principle 4,,,,,,,8.3.4,6.2,"5.1(c) 7.1",,5.4,,,,,,"4.3.1 4.3.2",,,,MANAGE 2.1,,PO.2.3,,,PM-3,,,,PM-3,,,,,PM-3,,,,,"3.3.2 3.3.3",PM-3,,,PM-3,PM-3,,,,,,,,ID.BE-2,GV.RR-03,,,,,,,,,,,,,C.6.2,,1.2.3,,,,"ASSET-5.B.MIL2 THREAT-3.A.MIL2 RISK-5.B.MIL2 ACCESS-4.B.MIL2 SITUATION-4.B.MIL2 RESPONSE-5.B.MIL2 THIRD-PARTIES-3.B.MIL2 WORKFORCE-4.B.MIL2 ARCHITECTURE-5.B.MIL2 PROGRAM-3.B.MIL2","EF:SG3.SP1 FRM:SG1.SP2 FRM:SG2.SP2",,,,,,,,,PM-3,,,,,,,,,,,,,,,,,,,,,,,,,,,PM-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 12,PM-3,,,,,,"3.6.1(61) 3.6.1(62)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,,,,,,,,,,,2.3,,,,,"17.5 17.8 17.9",,,,,,,,,,,,1-1,,,1-1-3,"1-4 1-4-1 1-4-1-1",,,,,,,,,,,,,,,,,,,,0732,,25,"13 15",,,,,,,,"4.4.5 4.5.1 4.5.1.1 4.5.1.2",,,3.2.15.C.01,,,,,"5.1.1 5.1.2 5.1.3 5.1.4 5.2.1 5.2.2 5.5.1 5.5.2",,,,,,,,"1.1 6.22",1.1.2,,,,,,,,,,,x,,,x,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Allocation of Resources ,PRM-03,"Mechanisms exist to identify and allocate resources for management, operational, technical and data privacy requirements within business process planning for projects / initiatives.",,"E-PRM-01 E-PRM-02","Does the organization identify and allocate resources for management, operational, technical and data privacy requirements within business process planning for projects / initiatives?",8,Identify,X,X,,"There is no evidence of a capability to identify and allocate resources for management, operational, technical and data privacy requirements within business process planning for projects / initiatives.","Project & Resource Management (PRM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels.","Project & Resource Management (PRM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and allocate resources for management, operational, technical and data privacy requirements within business process planning for projects / initiatives.","CC1.4 CC4.1",CC3.1-POF4,8.2,,,,,"EDM02.01 EDM02.02 EDM02.03 EDM02.04 EDM04.01 EDM04.02 EDM04.03 APO06.01 APO06.02 APO06.03 APO06.04 APO06.05","Principle 4 Principle 16",,,,,,RQ-05-04,"7.1 8.3.4",7.1,,,,,,,,,"4.3.1 4.3.2",,,,MANAGE 2.1,,PO.2.3,,,SA-2,SA-2,SA-2,SA-2,SA-2,SA-2,SA-2,SA-2,SA-2,,,SA-2,SA-2,SA-2,"3.2 3.2.1 3.2.2 3.2.3 3.2.4 3.2.5 3.2.6 3.3 3.3.1 3.3.2",SA-2,SA-2,,SA-2,SA-2,,NFO - SA-2,,,,,,ID.BE-3,GV.RR-03,,,,,,,,,,,,,K.1.4.1,,,11.1,,,"ASSET-5.B.MIL2 THREAT-3.A.MIL2 RISK-5.B.MIL2 ACCESS-4.B.MIL2 SITUATION-4.B.MIL2 RESPONSE-5.B.MIL2 THIRD-PARTIES-3.B.MIL2 WORKFORCE-4.B.MIL2 ARCHITECTURE-5.B.MIL2 PROGRAM-3.B.MIL2","EXD:SG3.SP1 EXD:SG3.SP3 FRM:SG1.SP1 FRM:SG1.SP2 FRM:SG3.SP1 RRD:SG2.SP1 RRM:SG1.SP2 FRM:SG4.SP1 GG2.GP3",,,,,,,,,SA-2,,,,,,,,SA-2 ,SA-2 ,SA-2 ,SA-2 ,SA-2 ,SA-2,SA-2,SA-2,SA-2,SA-2,,"D1.G.SP.E.2 D1.G.Ov.Int.5 D1.G.SP.Int.3",,,,,,,,SA-2,,,"8-100 8-200",,,,,,,SA-2 ,SA-2 ,SA-2 ,,,,,,,,,,,,,,,,,Sec 12,SA-2,SA-2,SA-2,,,,3.2.1(3),"Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,,,,,,,,,,,2.3,,,,,17.5,,,,,,,,,,,,1-1,,,1-6-4,,,,,,,,,,,,,,,,,,,,,0732,,25,15,,,,,,,,"4.5.1 4.5.1.1 4.5.1.2",,,,,,,,"5.2.1 5.2.2",,,,,,,,6.22,,,,,,,,,,,,x,,,x,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Cybersecurity & Data Privacy In Project Management ,PRM-04,"Mechanisms exist to assess cybersecurity & data privacy controls in system project development to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting the requirements.",,E-PRM-03,"Does the organization assess cybersecurity & data privacy controls in system project development to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting the requirements?",10,Identify,,X,X,"There is no evidence of a capability to assess cybersecurity & data privacy controls in system project development to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting the requirements.","Project & Resource Management (PRM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians. • The PM function enables project involvement for Information Assurance Program (IAP) as part of the organization’s established project management processes to ensure both cybersecurity & data privacy principles are identified and implemented.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels. • The PM function enables project involvement for Information Assurance Program (IAP) as part of the organization’s established project management processes to ensure both cybersecurity & data privacy principles are identified and implemented. • A Governance, Risk & Compliance (GRC), or security engineering function, conducts functional testing of all applicable administrative, physical and technical controls as part of “business as usual” pre-production testing to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting the defined business requirements.","Project & Resource Management (PRM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to assess cybersecurity & data privacy controls in system project development to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting the requirements.","CC3.1 CC4.1 CC5.2",,8.2,,,,,"EDM03.01 BAI01.01 BAI01.02 BAI01.03 BAI01.04 BAI01.05 BAI01.06 BAI01.07 BAI01.08 BAI01.09 BAI02.01 BAI02.02 BAI02.03 BAI02.04 BAI03.01 BAI03.02 BAI03.03 BAI03.04 BAI03.05 BAI03.06 BAI03.07 BAI03.08 BAI03.09 BAI03.10 BAI03.11 BAI03.12 BAI04.01 BAI04.02 BAI04.03 BAI04.04 BAI04.05 BAI11.01 BAI11.02 BAI11.03 BAI11.04 BAI11.05 BAI11.06 BAI11.07 BAI11.08 BAI11.09","Principle 6 Principle 11 Principle 16",,"LGL-02 SET-05",,,,"RQ-05-05.a RQ-05-05.b RC-05-10 RC-05-15 RC-05-16 RQ-06-01 RQ-06-05.a RQ-06-05.b RQ-06-11 RQ-06-12",,"7.1 7.2 7.3 7.4 7.5.1 7.5.2 7.5.3",,6.1.5 ,5.8,6.1.5,,6.3.1.5,,,"4.3.1 4.3.2","T1190, T1195, T1195.001, T1195.002, T1210",TS-1.12,,,"CM.AW-P3 CT.PO-P1 CT.DM-P1 CT.DM-P2 CT.DM-P3 CT.DM-P4 CT.DM-P5 CT.DM-P6 CT.DM-P7 CT.DM-P8 CT.DM-P9 CT.DM-P10 CT.PO-P4","PO.1 PO.2 RV.3 RV.3.1 RV.3.2",,,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,CA-2,,,CA-2,CA-2,CA-2,"3.4 3.4.1 3.4.2 3.4.3 3.4.4 3.4.5 3.4.6 3.4.7 3.4.8 3.4.9 3.4.10 3.4.11 3.4.12 3.4.13 3.4.14",CA-2,CA-2,,,CA-2,CA-2,,,,,,PO.2.3,,,,,1.1,,,,,,,,,,C.6.3,,"1.2.3 8.2.2 8.2.3 8.4.3 8.5.1 8.5.2 9.2",11.1,"7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4","ASSET-5.B.MIL2 THREAT-3.A.MIL2 RISK-5.B.MIL2 ACCESS-4.B.MIL2 SITUATION-4.B.MIL2 RESPONSE-5.B.MIL2 THIRD-PARTIES-3.B.MIL2 WORKFORCE-4.B.MIL2 ARCHITECTURE-5.B.MIL2 PROGRAM-3.B.MIL2","EC:SG4.SP5 FRM:SG1.SP2 RISK:SG3.SP1",,,,,,,,,CA-2,,,,,,,,,,,,,,,,,,,,,,,,5.S.B,5.M.B,5.M.B,CA-2,,,8-610,12.1,,,,,,,,,,,,,,,,,,17.03(2)(h),,,,"622(2)(B)(i) 622(2)(B)(ii) 622(2)(B)(iii) 622(2)(B)(iv) ",,,Sec 12,CA-2,,,,,,"3.3.1(10) 3.3.1(13)(f) 3.6.1(62) 3.6.1(61) 3.6.1(63)(a) 3.6.1(63)(b) 3.6.1(63)(c) 3.6.1(63)(d) 3.6.1(63)(e) 3.6.1(63)(f) 3.6.1(64) 3.6.1(65) 3.6.1(66)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,Article 21.3,,,,,,,,,,"7.1 7.2 7.3",,,,,"17.5 17.8 17.9",,,,,,,,,,,,"1-3 2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4",TPC-74,3.1.5,"1-6-1 1-6-4",1-4-1-2,,,,,,,,,,,,,,,,,,,,1739,,,,,,,,,,,"4.4.1 4.4.5 4.5.1 4.5.1.1 4.5.1.2 4.5.2 4.5.3 4.6 4.6.1 4.8.1 4.8.2 6.1.5",,,,,,,,"5.1.1 5.1.2 5.1.3 5.1.4 5.2.1 5.2.2 5.4.1 5.4.2 5.4.3 5.4.4 5.8.1 5.8.2",,,,,,,Art 6.8,6.7,"2.3.1 2.4.3",,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Cybersecurity & Data Privacy Requirements Definition,PRM-05,"Mechanisms exist to identify critical system components and functions by performing a criticality analysis for critical systems, system components or services at pre-defined decision points in the Secure Development Life Cycle (SDLC). ",- Secure Development Life Cycle (SDLC),E-PRM-03,"Does the organization identify critical system components and functions by performing a criticality analysis for critical systems, system components or services at pre-defined decision points in the Secure Development Life Cycle (SDLC)? ",9,Identify,X,X,X,"There is no evidence of a capability to identify critical system components and functions by performing a criticality analysis for critical systems, system components or services at pre-defined decision points in the Secure Development Life Cycle (SDLC). ","Project & Resource Management (PRM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels. • A Governance, Risk & Compliance (GRC), or security engineering function, conducts functional testing of all applicable administrative, physical and technical controls as part of “business as usual” pre-production testing to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting the defined business requirements.","Project & Resource Management (PRM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify critical system components and functions by performing a criticality analysis for critical systems, system components or services at pre-defined decision points in the Secure Development Life Cycle (SDLC). ","CC2.2 CC4.1 CC5.2","PI1.1-POF1 PI1.1-POF2 PI1.1-POF3",8.2,15.7,,,15.7,"APO01.10 APO08.01 BAI02.01","Principle 11 Principle 14 Principle 16",,"LGL-01 LGL-02 LGL-03 LGL-04 LGL-05 LGL-06 LGL-07 LGL-08",,,,"RC-05-10 RQ-06-01 RQ-06-02.a RQ-06-02.b RQ-06-02.c RQ-06-06 RQ-09-09 RQ-10-01.a RQ-10-01.b RQ-10-01.c RQ-10-02","6.2.1 6.2.2",,,14.1.1,"5.8 5.9 8.26",14.1.1,,"6.11 6.11.1",,,"4.3.1 4.3.2","T1195.003, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1553, T1553.006, T1601, T1601.001, T1601.002",,Sec 3,MAP 1.6,"CT.PO-P1 CT.DM-P9 CT.DM-P10","PO.1 PO.1.1",,,SA-14,,,,RA-9,,,RA-9,RA-9,,,,RA-9,RA-9,"3.4 3.4.3 3.4.4 3.4.5 3.4.6",RA-9,,RA-9,RA-9,RA-9,RA-9,,3.16.1,,"A.03.16.01 A.03.16.01.ODP[01] A.03.16.03.ODP[01] A.03.17.03.b",,"PO.1 PO.1.1 PO.1.2 PO.1.3","ID.BE-4 ID.BE-5",,,,1.1,,,,,,,,,,I.1.7.7,,"1.2.3 8.2.2 8.2.3 8.4.3 8.5.1 8.5.2 9.2",,"7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4","ASSET-5.B.MIL2 THREAT-3.A.MIL2 RISK-5.B.MIL2 ACCESS-4.B.MIL2 SITUATION-4.B.MIL2 RESPONSE-5.B.MIL2 THIRD-PARTIES-3.B.MIL2 WORKFORCE-4.B.MIL2 ARCHITECTURE-5.B.MIL2 PROGRAM-3.B.MIL2","COMM:SG1.SP2 COMM:SG3.SP1 RRD:SG3.SP1 RTSE:SG2.SP1 RTSE:SG2.SP2 RTSE:SG3.SP1 RTSE:SG3.SP2 TM:SG1.SP1",,,,,,,,,,,,,,,,,,,,,,RA-9,,RA-9,RA-9,,,"D4.C.Co.B.1 D1.G.IT.B.2 D5.IR.Pl.B.5 D5.IR.Pl.E.3",,,,,5.S.B,5.M.B,5.M.B,,,,,12.1,,,,,,,,,,,,,,"6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II)",,,,,,,,,38-99-10,,Sec 12,,,,,,,"3.5(51) 3.6.1(64) 3.6.1(65) 3.6.2(68)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,Article 21.3,,Principle 2.4.a,,,,,,,,,,,,,"17.5 17.6",,,,,,,,,,"Article 11.1 Article 11.2 Article 11.3 Article 11.4 Article 11.5 Article 11.6 Article 11.7 Article 11.8",,"1-3-1-2 2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4",TPC-43,,1-6-1,"1-4-1 1-4-1-1 1-4-2",,,,,7.1.3 [OP.PL.3],,,,,,,,,,,,,,,"0720 1739",,,,,,,,,,,"4.4.3 4.4.3.1 14.1.1",,,"12.1.30.C.01 12.1.30.C.02 12.1.30.C.03 12.1.32.C.01 12.1.32.C.02 12.1.32.C.03",,,,,"5.1.1 5.1.2 5.1.3 5.1.4 5.3.3 5.5.1 5.5.2 5.6.1 5.6.2 5.6.3",,Art 27,,,,,,6.7,2.4.2,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Business Process Definition ,PRM-06,"Mechanisms exist to define business processes with consideration for cybersecurity & data privacy that determines: ▪ The resulting risk to organizational operations, assets, individuals and other organizations; and ▪ Information protection needs arising from the defined business processes and revises the processes as necessary, until an achievable set of protection needs is obtained.",,E-PRM-03,"Does the organization define business processes with consideration for cybersecurity & data privacy that determines: ▪ The resulting risk to organizational operations, assets, individuals and other organizations; and ▪ Information protection needs arising from the defined business processes and revises the processes as necessary, until an achievable set of protection needs is obtained?",7,Identify,X,X,X,"There is no evidence of a capability to define business processes with consideration for cybersecurity & data privacy that determines: ▪ The resulting risk to organizational operations, assets, individuals and other organizations; and ▪ Information protection needs arising from the defined business processes and revises the processes as necessary, until an achievable set of protection needs is obtained.","Project & Resource Management (PRM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels.","Project & Resource Management (PRM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define business processes with consideration for cybersecurity & data privacy that determines: ▪ The resulting risk to organizational operations, assets, individuals and other organizations; and ▪ Information protection needs arising from the defined business processes and revises the processes as necessary, until an achievable set of protection needs is obtained.","CC1.3 CC3.1 CC3.4 CC4.1 CC5.1 CC5.2 PI1.1","CC3.1-POF7 CC3.1-POF8 CC3.1-POF9 CC3.1-POF10 CC3.1-POF11 CC3.1-POF12 CC3.1-POF13 CC3.1-POF14 CC3.1-POF15 CC3.1-POF16 PI1.1-POF1 PI1.3-POF1 PI1.3-POF2 PI1.3-POF3 PI1.3-POF4 PI1.3-POF5 PI1.4-POF1 PI1.4-POF2 PI1.4-POF3 PI1.4-POF4 PI1.5-POF1 PI1.5-POF2 PI1.5-POF3 PI1.5-POF4 P6.7-POF1",,15.7,,,15.7,"APO01.10 APO08.01 BAI02.01","Principle 3 Principle 6 Principle 9 Principle 10 Principle 11 Principle 16",,"LGL-01 LGL-02 LGL-03 LGL-04 LGL-05 LGL-06 LGL-07 LGL-08",,,,"RC-05-10 RQ-06-01 RQ-06-11 RQ-06-12","6.2.1 6.2.2",,,,,,,,,,"4.3.1 4.3.2",,,,"MAP 1.0 MAP 1.1 MAP 1.4 MAP 2.1","ID.IM-P5 CT.PO-P1 CT.DM-P9 CT.DM-P10",PO.1,,,PM-11,,,,PM-11,,,,,PM-11,,,,,"3.4 3.4.1 3.4.2",PM-11,,,PM-11,PM-11,PM-11,,,,,,,ID.BE-4,,,,,,,,,,,,,,A.1.3.1,,,,,,,"ADM:SG2.SP1 COMM:SG1.SP2 COMM:SG3.SP1 EC:SG4.SP1 EF:SG1.SP3 OPD:SG1.SP1 PM:SG3.SP2 PM:SG3.SP4 PM:SG3.SP5 RRD:SG3.SP1 SC:SG1.SP1 SC:SG3.SP1 TM:SG5.SP1",,,,,,,,,PM-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-303,,,,,,,,,,,,,,,"6-1-1308(1)(c)(I) 6-1-1308(1)(c)(II)",,,,,,,,,,,Sec 12,,,,,,,"3.5(51) 3.6.1(64) 3.6.1(65) 3.6.2(68)",Art 8.1,,,,,Principle 2.4.a,,,,,,,,,,,,,"17.5 17.6",,,,,,,,,,"Article 11.4 Article 11.5 Article 11.6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.4.3 4.4.3.1 4.4.4 4.4.4.1",,,"12.1.32.C.01 12.1.32.C.02 12.1.32.C.03",,,,,"5.5.1 5.5.2",,,,,,,,,,,,,,,,,,,,x,,,x,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Secure Development Life Cycle (SDLC) Management,PRM-07,Mechanisms exist to ensure changes to systems within the Secure Development Life Cycle (SDLC) are controlled through formal change control procedures. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),E-PRM-03,Does the organization ensure changes to systems within the Secure Development Life Cycle (SDLC) are controlled through formal change control procedures? ,10,Protect,X,X,X,There is no evidence of a capability to ensure changes to systems within the Secure Development Life Cycle (SDLC) are controlled through formal change control procedures. ,"Project & Resource Management (PRM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • Administrative processes exist to ensure changes to systems within the SDLC are controlled through formal change control procedures. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • Administrative processes exist to ensure changes to systems within the SDLC are controlled through formal change control procedures. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels. • A Governance, Risk & Compliance (GRC), or security engineering function, conducts functional testing of all applicable administrative, physical and technical controls as part of “business as usual” pre-production testing to determine the extent to which the controls are implemented correctly, operating as intended and producing the desired outcome with respect to meeting the defined business requirements.","Project & Resource Management (PRM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure changes to systems within the Secure Development Life Cycle (SDLC) are controlled through formal change control procedures. ","CC5.2 CC8.1",CC8.1-POF1,,15.7,,,15.7,"BAI01.01 BAI01.02 BAI01.03 BAI01.04 BAI01.05 BAI01.06 BAI01.07 BAI01.08 BAI01.09",Principle 11,AIS-04,"LGL-01 LGL-02 LGL-03 LGL-04 LGL-05 LGL-06 LGL-07 LGL-08 POL-04 SET-05",,,,"RC-05-10 RC-05-13 RC-05-15 RC-05-16 RQ-06-01 RQ-12-01 RQ-14-02",,"7.1 7.2 7.3 7.4",,14.2.2 ,"5.8 8.25 8.32",14.2.2 ,,6.11.2.2,,,"4.3.1 4.3.2 6.1 6.2 6.3 6.4 6.5","T1078, T1078.001, T1078.003, T1078.004, T1213.003, T1574.002",TS-1.12,,"GOVERN 1.7 MANAGE 2.2 MANAGE 2.3","CM.AW-P3 CT.PO-P1 CT.DM-P7 CT.DM-P8 CT.PO-P4","PO.1 RV.3.4",P-13,,SA-3,SA-3,SA-3,SA-3,"SA-3 SA-3(1) SA-8(30)",SA-3,SA-3,SA-3,SA-3,"SA-3(1) SA-8(30)",,SA-3,SA-3,SA-3,3.2.1,SA-3,SA-3,,SA-3,SA-3,SA-3,NFO - SA-3,,,,,"PO.2 PO.2.1 PO.2.2 PO.2.3 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4",PR.IP-2,ID.AM-08,,,,,,,,,,,,,I.2.5,,,,"7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4",ASSET-3.E.MIL3,"EXD:SG3.SP3 EXD:SG3.SP4 EXD:SG4.SP1 EXD:SG4.SP2 RTSE:SG2.SP2",,,,,,,,,SA-3,,,,,,,,SA-3 ,SA-3 ,SA-3 ,SA-3 ,SA-3 ,SA-3,SA-3,SA-3,SA-3,SA-3,,"D3.PC.Se.B.1 D3.PC.Se.E.1",,,,,1.S.A,1.M.A,1.M.A,SA-3,,,"8-311 8-610",12.1,,,,,,SA-3 ,SA-3 ,SA-3 ,,,,,,,,,,,,,,,,,Sec 12,SA-3,SA-3,SA-3,,,,"3.3.1(13)(f) 3.5(55) 3.6.1(63)(a) 3.6.1(63)(b) 3.6.1(63)(c) 3.6.1(63)(d) 3.6.1(63)(e) 3.6.1(63)(f)","Art 7(a) Art 7(b) Art 7(c) Art 7(d)",,,Article 21.3,,Principle 2.4.a,,,,,,,,"7.1 7.2 7.3",,,,,"17.4 17.5 17.8",,,,,,,,,,"Article 11.4 Article 11.5 Article 11.6",,2-13-4,TPC-74,,,,,,,,,,,,,A3.a,,,,,,,,,,"1526 1739",,,21(c),,,,,,,,"4.5.1 4.5.2 4.5.3 14.2.2",,,,,,,,"5.1.2 5.1.3 5.1.4 5.4.1 5.4.2 5.4.3 5.4.4",,,,,,,,,"2.4.1 2.4.2",,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Project & Resource Management,Manage Organizational Knowledge,PRM-08,Mechanisms exist to manage the organizational knowledge of the cybersecurity & data privacy staff.,,,Does the organization manage the organizational knowledge of the cybersecurity & data privacy staff?,5,Protect,X,X,,There is no evidence of a capability to manage the organizational knowledge of the cybersecurity & data privacy staff.,"SP-CMM1 is N/A, since a structured process is required to manage the organizational knowledge of the cybersecurity & data privacy staff.","Project & Resource Management (PRM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Program/project management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for Project Management (PM). • The PM function facilitates the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The responsibility for enforcing cybersecurity & data privacy control implementation is assigned to business / process owners and asset custodians. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture the knowledge in documentation form.","Project & Resource Management (PRM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Project Management Office (PMO), or project management function, enables the centralized-implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all projects. • The PMO determines the identification and allocation of resources for cybersecurity & data privacy requirements within business process planning for projects and other initiatives. • Project Management (PM) is centrally-managed across the enterprise to implement cybersecurity & data privacy controls as part of the project management lifecycle, with the responsibility for enforcing cybersecurity & data privacy control implementation assigned to business / process owners and asset custodians. • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy and prioritizes the objectives of the security function, based on business requirements. • The CISO, or similar function, leverages a capability maturity model to define and identify targeted capability maturity levels for each of the functions that make up the cybersecurity & data privacy program. • Subordinate staff and stakeholders are educated on the capability maturity expectations and those targets are used to task individual contributor work activities in an effort to achieve the targeted maturity levels. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books” or Standardized Operating Procedures (SOPs) to capture the knowledge in documentation form from both a business and technology perspective.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to manage the organizational knowledge of the cybersecurity & data privacy staff.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage the organizational knowledge of the cybersecurity & data privacy staff.",,,,,,,,APO01.08,,,,,,,,,,,,,,,,,,,,,,,"CT.PO-P1 CT.DM-P7 CT.DM-P8","RV.3 RV.3.1 RV.3.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.3.1.1,,,,,,,KIM:SG6.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B4.c,,,,,,,,,,,,,,,,,,,,,,,,3.2.19.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-6 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4 R-SA-2",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,R-EX-6,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Risk Management,Risk Management Program ,RSK-01,Mechanisms exist to facilitate the implementation of risk management controls.,- Risk Management Program (RMP),E-RSK-01,Does the organization facilitate the implementation of risk management controls?,10,Identify,X,X,X,There is no evidence of a capability to facilitate the implementation of risk management controls.,"Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, o Analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Risk Management (RM) practices. o Develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for RM. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to RM. o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. ","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of risk management controls.","CC1.3 CC3.1 CC4.1 CC5.1","CC3.1-POF3 CC3.2-POF3 CC3.2-POF5 CC3.4-POF1 CC3.4-POF2 CC3.4-POF3 CC3.4-POF4 CC3.4-POF5",10.2.1,16.6,,16.6,16.6,"EDM03.01 EDM03.02 EDM03.03 APO12.01 APO12.02 APO12.03 APO12.04 APO12.05 APO12.06","Principle 3 Principle 6 Principle 10 Principle 16 Principle 20","CEK-07 GRC-02","RSM-01 RSM-02",SO2,,,"RQ-06-23 RQ-06-24 RQ-06-25 RQ-06-26 RQ-06-27 RQ-06-28.a RQ-06-28.b RQ-06-29 RQ-06-30.a RQ-06-30.b RQ-06-30.c RQ-06-30.d RQ-06-31 RQ-06-32","8.2 8.2.1","6.1 6.1.2","6.1 6.1.1 6.1.1(a) 6.1.1(b) 6.1.1(c) 6.1.1(d) 6.1.1(e)(1) 6.1.1(e)(2) 6.1.2 6.1.2(a) 6.1.2(a)(1) 6.1.2(a)(2) 6.1.2(b) 6.1.2(c) 6.1.2(c)(1) 6.1.2(c)(2) 6.1.2(d) 6.1.2(d)(1) 6.1.2(d)(2) 6.1.2(d)(3) 6.1.2(e) 6.1.2(e)(1) 6.1.2(e)(2) 8.2",11.1.4 ,7.5,11.1.4 ,,6.8.1.4,"5.10 5.11 5.12","4.1 4.2 4.3 4.4 4.5 4.6","4.1 4.2 4.3.1 4.3.2 5.1",,OR-2.0,Sec 4(D)(3),"GOVERN 1.0 GOVERN 1.3 GOVERN 1.4 GOVERN 1.5 MANAGE 1.0","ID.DE-P1 GV.PO-P6 GV.RM-P1",,P-2,"2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8","PM-9 RA-1",RA-1,RA-1,RA-1,"PM-9 PM-29 RA-1",RA-1,RA-1,RA-1,RA-1,"PM-9 PM-29",,RA-1,RA-1,RA-1,3.3.4,"PM-9 PM-29 RA-1",RA-1,,"PM-9 PM-29 RA-1",RA-1,RA-1,NFO - RA-1,"3.11.1.a 3.11.1.b 3.17.1.a",,,,,"ID.GV-4 ID.RM-1 ID.RM-2 ID.RM-3","GV.RM GV.RM-01 GV.RM-03 GV.RM-06 GV.RM-07 GV.SC-03 GV.SC-09 ID.RA",,12.2,12.3,,,,,,,,,,A.1,7.4A,"1.4 1.4.1",,,,"RISK-1.A.MIL1 RISK-1.B.MIL2 RISK-1.C.MIL2 RISK-1.D.MIL2 RISK-1.E.MIL2 RISK-1.F.MIL2 RISK-1.G.MIL3 RISK-1.H.MIL3 RISK-5.A.MIL2","RISK:SG1.SP2 RISK:SG2.SP1 RISK:SG2.SP2 RISK:SG3.SP1 RISK:SG3.SP2 RISK:SG4.SP1 RISK:SG4.SP2 RISK:SG4.SP3 RISK:SG5.SP1 RISK:SG5.SP2 RISK:SG6.SP1 RISK:SG6.SP2",,,,,,,,,"PM-9 RA-1",,,,,,,,RA-1 ,RA-1 ,RA-1 ,RA-1 ,RA-1 ,RA-1,RA-1,RA-1,RA-1,RA-1,,"D1.G.Ov.B.1 D1.G.Ov.B.3 D1.G.Ov.E.1 D1.G.SP.E.1 D1.G.Ov.Int.1 D1.G.Ov.Int.3 D1.G.SP.A.4",,,314.4(b),,,,,"PM-9 RA-1",,,"8-103 8-610",14.1,,,"17 CFR 229.106(B)(1) 17 CFR 229.106(B)(1)(i) 17 CFR 229.106(B)(1)(ii) 17 CFR 229.106(B)(1)(iii) 17 CFR 229.106(B)(2)",Sec 404 ,5.6,RA-1 ,RA-1 ,RA-1 ,,,,,,,,,,17.03(2)(b),,500.09,"Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(C)(1)",622(2)(d)(A)(ii),38-99-20(D)(3),,Sec 7,"PM-9 RA-1",RA-1,RA-1,,,§ 2447(b)(2),"3.2.3(7) 3.3.1(10) 3.3.1(13)(a) 3.3.1(13)(b) 3.3.1(13)(c) 3.3.1(13)(d) 3.3.1(13)(e) 3.3.1(13)(f) 3.3.1(14)","Art 6.1 Art 6.2 Art 6.3 Art 6.4 Art 6.5 Art 6.6 Art 6.7 Art 6.8 Art 6.8(a) Art 6.8(b) Art 6.8(c) Art 6.8(d) Art 6.8(e) Art 6.8(f) Art 6.8(g) Art 6.8(h) Art 6.9 Art 6.10",Art 17,"Art 32.1 Art 32.2","Article 21.1 Article 21.2(a) Article 21.2(d) Article 21.2(f)",,,"Sec 14 Sec 15",Art 16,,,,,,"3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8 3.9 3.10 3.11 12.3",OIS-06,,,,"1.2 2.1 2.2",,,,,,,,,,,,1-2,TPC-31,3.2.1,"1-5-1 1-5-2 1-5-4","1-3 1-3-1 1-3-1-1",,,Sec 19,,,,,,,A2.a,A2,,,,,,,,,0726,,"12(a) 12(c) 13 16(a) 16(b) 16(c) 16(d) 16(e) 16(f) 17 18 19(a) 19(b) 19(c) 19(d) 19(e)",,,,,,,Art 13,,"4.4.6 4.4.6.1 4.4.7 11.1.4",,"1.4 1.4.1 1.4.2 1.4.3","5.1.9.C.01 5.3.6.C.01 5.3.7.C.01 5.3.8.C.01 5.3.9.C.01",,,,,"4.1.1 4.1.2 4.1.5",,,,,,"5.3 5.8",,"1.3 6.4 6.8 6.16 6.24","1.3 1.3.1 1.3.2 3.1",,,,,,,,,,,x,"NAIC MA 201 CMR 17 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Risk Management,Risk Framing,RSK-01.1,"Mechanisms exist to identify: ▪ Assumptions affecting risk assessments, risk response and risk monitoring; ▪ Constraints affecting risk assessments, risk response and risk monitoring; ▪ The organizational risk tolerance; and ▪ Priorities and trade-offs considered by the organization for managing risk.",- Risk Management Program (RMP),,"Does the organization identify: ▪ Assumptions affecting risk assessments, risk response and risk monitoring; ▪ Constraints affecting risk assessments, risk response and risk monitoring; ▪ The organizational risk tolerance; and ▪ Priorities and trade-offs considered by the organization for managing risk?",9,Identify,X,X,,"There is no evidence of a capability to identify: ▪ Assumptions affecting risk assessments, risk response and risk monitoring; ▪ Constraints affecting risk assessments, risk response and risk monitoring; ▪ The organizational risk tolerance; and ▪ Priorities and trade-offs considered by the organization for managing risk.","Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify: ▪ Assumptions affecting risk assessments, risk response and risk monitoring; ▪ Constraints affecting risk assessments, risk response and risk monitoring; ▪ The organizational risk tolerance; and ▪ Priorities and trade-offs considered by the organization for managing risk.",CC3.2,"CC3.1-POF1 CC3.1-POF6 CC3.2-POF2 CC3.2-POF8",,16.6,,16.6,16.6,APO12.04,Principle 7,"A&A-06 CEK-07 TVM-08","RSM-01 RSM-02",,,,"RQ-06-30.a RQ-06-30.b RQ-06-30.c RQ-06-30.d",,,"6.1.2 6.1.2(a) 6.1.2(a)(1) 6.1.2(a)(2) 6.1.2(b) 6.1.2(c) 6.1.2(c)(1) 6.1.2(c)(2) 6.1.2(d) 6.1.2(d)(1) 6.1.2(d)(2) 6.1.2(d)(3) 6.1.2(e) 6.1.2(e)(1) 6.1.2(e)(2)",,5.8,,,,,"5.1 5.2 5.3",4.3.3,,OR-2.0,Sec 4(D)(3),"GOVERN 1.3 GOVERN 1.4 MANAGE 1","ID.DE-P1 GV.RM-P1 GV.RM-P2 GV.RM-P3",,,3.1,,,,,PM-28,PM-28,,,,,,,,,,PM-28,,,PM-28,,,,,,,,,"ID.RM-2 ID.RM-3",GV.RM-06,,,"12.3.1 12.3.2",,12.3.1,,,12.3.1,,"12.3.1 12.3.2",12.3.1,,A.1.13,7.4A,1.4.1,,,,RISK-2.C.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17 CFR 229.106(B)(1) 17 CFR 229.106(B)(1)(i) 17 CFR 229.106(B)(1)(ii) 17 CFR 229.106(B)(1)(iii) 17 CFR 229.106(B)(2)",,,,,,,,,,,,,,,,,,,,38-99-20(D)(3),,,,,,,,,"3.3.1(10) 3.6.1(66) 3.7.2(82)",Art 8.2,,,,,,,,,,,,,,,,,,2.2,,,,,,,,,,,,,,,,"1-3-1-4 1-3-1-5",,,,,,,,,,A2.a,,,,,,,,,,,,,,,,,,,,,"4.4.7.1 4.4.7.2 4.4.7.3 4.4.7.4",,,"23.2.16.C.01 23.2.17.C.01",,,,,"4.2.1 4.3.2",,,,,,5.5,,"6.15 6.24",,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Management Resourcing ,RSK-01.2,Mechanisms exist to reduce the magnitude or likelihood of potential impacts by resourcing the capability required to manage technology-related risks.,,,Does the organization reduce the magnitude or likelihood of potential impacts by resourcing the capability required to manage technology-related risks?,8,Protect,X,X,,There is no evidence of a capability to reduce the magnitude or likelihood of potential impacts by resourcing the capability required to manage technology-related risks.,"SP-CMM1 is N/A, since a structured process is required to reduce the magnitude or likelihood of potential impacts by resourcing the capability required to manage technology-related risks.","SP-CMM2 is N/A, since a well-defined process is required to reduce the magnitude or likelihood of potential impacts by resourcing the capability required to manage technology-related risks.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to reduce the magnitude or likelihood of potential impacts by resourcing the capability required to manage technology-related risks.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to reduce the magnitude or likelihood of potential impacts by resourcing the capability required to manage technology-related risks.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GOVERN 1.3 GOVERN 1.4 MANAGE 2.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Tolerance,RSK-01.3,"Mechanisms exist to define organizational risk tolerance, the specified range of acceptable results.",- Defined risk tolerance,E-RSK-06,"Does the organization define organizational risk tolerance, the specified range of acceptable results?",9,Identify,X,X,X,There is no evidence of a capability to define organizational risk tolerance(s).,"SP-CMM1 is N/A, since a structured process is required to define organizational risk tolerance(s).","SP-CMM2 is N/A, since a well-defined process is required to define organizational risk tolerance(s).","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define organizational risk tolerance(s).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define organizational risk tolerance(s).",,"CC3.1-POF2 CC3.1-POF15",,,,,,,,,,,,,,,,,,,,,,,,,,,,"GOVERN 1.3 MAP 1.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.RM-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17 CFR 229.106(B)(1) 17 CFR 229.106(B)(1)(i)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3.1(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A2.a,,,,,,,,,,,,26,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Threshold,RSK-01.4,"Mechanisms exist to define organizational risk threshold, the level of risk exposure above which risks are addressed and below which risks may be accepted.",- Defined risk threshold,E-RSK-07,"Does the organization define organizational risk threshold, the level of risk exposure above which risks are addressed and below which risks may be accepted?",9,Identify,X,X,X,There is no evidence of a capability to define organizational risk threshold.,"SP-CMM1 is N/A, since a structured process is required to define organizational risk threshold.","SP-CMM2 is N/A, since a well-defined process is required to define organizational risk threshold.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define organizational risk threshold.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define organizational risk threshold.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"MAP 1.5 MAP 3.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.RM-06,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17 CFR 229.106(B)(1) 17 CFR 229.106(B)(1)(i)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3.1(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A2.a,,,,,,,,,,,,26,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Appetite,RSK-01.5,"Mechanisms exist to define organizational risk appetite, the degree of uncertainty the organization is willing to accept in anticipation of a reward.",- Defined risk tolerance,E-RSK-08,"Does the organization define organizational risk appetite, the degree of uncertainty the organization is willing to accept in anticipation of a reward?",9,Identify,X,X,X,There is no evidence of a capability to define organizational risk appetite.,"SP-CMM1 is N/A, since a structured process is required to define organizational risk appetite.","SP-CMM2 is N/A, since a well-defined process is required to define organizational risk appetite.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define organizational risk appetite.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define organizational risk appetite.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.RM-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"17 CFR 229.106(B)(1) 17 CFR 229.106(B)(1)(i)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3.1(10) 3.3.1(13)(a)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,26,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk-Based Security Categorization ,RSK-02,"Mechanisms exist to categorize systems and data in accordance with applicable local, state and Federal laws that: ▪ Document the security categorization results (including supporting rationale) in the security plan for systems; and ▪ Ensure the security categorization decision is reviewed and approved by the asset owner.",- Risk Management Program (RMP),,"Does the organization categorize systems and data in accordance with applicable local, state and Federal laws that: ▪ Document the security categorization results (including supporting rationale) in the security plan for systems; and ▪ Ensure the security categorization decision is reviewed and approved by the asset owner?",9,Identify,X,X,X,"There is no evidence of a capability to categorize systems and data in accordance with applicable local, state and Federal laws that: ▪ Document the security categorization results (including supporting rationale) in the security plan for systems; and ▪ Ensure the security categorization decision is reviewed and approved by the asset owner.","Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to categorize systems and data in accordance with applicable local, state and Federal laws that: ▪ Document the security categorization results (including supporting rationale) in the security plan for systems; and ▪ Ensure the security categorization decision is reviewed and approved by the asset owner.",CC3.2,,,16.6,,16.6,16.6,,Principle 7,BCR-02,"RSM-01 RSM-02",,,,RQ-15-06,,,6.1.2(d)(3),,,,,,,"5.1 5.2 5.3",,,OR-2.0,Sec 4(D)(3),,,,,3.1,RA-2,RA-2,RA-2,RA-2,RA-2,,RA-2,RA-2,RA-2,,,RA-2,RA-2,RA-2,,RA-2,RA-2,,RA-2,RA-2,RA-2,,,,,,,ID.RA-6,GV.RM-06,,9.6.1,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,9.4.2,,D.7,7.4A,,,,,"RISK-2.C.MIL2 RISK-3.A.MIL1 RISK-3.B.MIL2 RISK-3.C.MIL2 RISK-3.D.MIL2 RISK-3.E.MIL2","ADM:SG1.SP1 ADM:SG2.SP1 RISK:SG1.SP1",,,,,,,,,RA-2,,,,,,,,RA-2 ,RA-2 ,RA-2 ,RA-2 ,RA-2 ,RA-2,RA-2,RA-2,RA-2,RA-2,,,,,,,,,,,,,8-402,,,,,,,RA-2 ,RA-2 ,RA-2 ,,,,,,,,,,,,,,,38-99-20(D)(3),,,RA-2,RA-2,RA-2,,,,,,Art 17,,,,,,,,,,,,,,,,,2.2,,,,,,,,,,,,,,,,"1-3-1-4 1-3-1-5",,,,,,,,,,A2.a,,,,,,,,,,,,,,,,,,,,,"4.4.7.1 4.4.7.2 4.4.7.3 4.4.7.4",,,,,,,,4.2.1,,,,,,,,6.24,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Impact-Level Prioritization,RSK-02.1,"Mechanisms exist to prioritize the impact level for systems, applications and/or services to prevent potential disruptions.",,,"Does the organization prioritize the impact level for systems, applications and/or services to prevent potential disruptions?",9,Identify,X,X,,"There is no evidence of a capability to prioritize the impact level for systems, applications and/ or services to prevent potential disruptions.","SP-CMM1 is N/A, since a structured process is required to prioritize the impact level for systems, applications and/ or services to prevent potential disruptions.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prioritize the impact level for systems, applications and/ or services to prevent potential disruptions.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prioritize the impact level for systems, applications and/ or services to prevent potential disruptions.",,CC3.2-POF4,,16.6,,16.6,16.6,,,"A&A-06 BCR-02 CEK-07 TVM-08","RSM-01 RSM-02",,,FR 2 (6.1),,,,,,,,,,,,,,OR-2.0,,"MANAGE 1 MANAGE 1.2",,,,,,,,,RA-2(1),,,,,RA-2(1),,,,,,,,,,,,,,,,,,ID.RA-6,GV.RM-06,,,,,,,,,,,,,A.1.13,7.4A,1.4.1,,,,"RISK-2.C.MIL2 RISK-3.A.MIL1 RISK-3.B.MIL2 RISK-3.C.MIL2 RISK-3.D.MIL2 RISK-3.E.MIL2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,17 CFR 229.106(B)(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-3-1-4 1-3-1-5",,,,,,,,,,A2.a,,,,,,,,,,,,,,,,,,,,,"4.4.7.1 4.4.7.2 4.4.7.3 4.4.7.4",,,"23.2.16.C.01 23.2.17.C.01",,,,,"4.2.1 4.3.1 4.3.2",,,,,,5.5,,6.24,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Identification,RSK-03,"Mechanisms exist to identify and document risks, both internal and external. ",- Risk Management Program (RMP),,"Does the organization identify and document risks, both internal and external? ",9,Identify,,X,,"There is no evidence of a capability to identify and document risks, both internal and external. ","Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document risks, both internal and external. ","CC3.2 CC7.2 A1.2","CC3.2-POF6 CC3.4-POF1 CC3.4-POF2 CC3.4-POF3 CC3.4-POF4 CC3.4-POF5",,,,,,APO12.01,"Principle 7 Principle 10","CEK-07 TVM-07",RSM-01,,,,,,6.1.2,"6.1.2(c) 6.1.2(c)(1) 6.1.2(c)(2)",,5.8,,,5.4.1.2,,"5.1 5.2 5.3",5.2,,OR-2.0,Sec 4(C)(2),"MANAGE 1.0 MANAGE 2.3",ID.DE-P1,,"P-3 P-14 R-2","3.1 3.2",,,,,,,,,,,,,,,,,,,,,,,,,,,"RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4",ID.RA-3,GV.RM-07,,,"12.3 12.3.1 12.3.2",,12.3.1,,,12.3.1,,"12.3.1 12.3.2",12.3.1,,A.1.3,7.4A,1.4.1,,7.3.3,7.3.3,"RISK-2.A.MIL1 RISK-2.B.MIL2 RISK-2.G.MIL2 RISK-2.H.MIL3 RISK-2.I.MIL3 RISK-2.J.MIL3 RISK-2.K.MIL3 RISK-2.M.MIL3",,8.2,,,,,,,,,,,,,,,,,,,,,,,,,,,"D3.DC.An.B.1 D2.MA.Ma.E.1 D2.MA.Ma.E.4 D2.MA.Ma.Int.2",,,314.4(c)(2),,,,,,,,,14.1,,,17 CFR 229.106(B)(1),,,,,,,,,,,,,,,,,,"Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(C)(1)",,38-99-20(C)(2),,Sec 7,,,,,,,"3.3.1(10) 3.3.1(13)(b) 3.7.2(82)",Art 8.2,Art 17,,,,,,,,,,,,,SP-03,,,,"1.2 2.2",,,,,,,,,,,,,TPC-31,3.2.1.1,,,,,Sec 19,,,,,,,A2.a,A2,,,,,,,,,1526,,,,,,,,,,,"4.4.7 4.4.7.2",,,"2.4.13.C.01 2.4.13.C.02 2.4.13.C.03 2.4.13.C.04 2.4.13.C.05 2.4.13.C.06 2.4.13.C.07",,,,,"4.1.3 4.1.4(a)",,,,,,5.5,,6.24,"3.1 3.1.1",,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Catalog,RSK-03.1,Mechanisms exist to develop and keep current a catalog of applicable risks associated with the organization's business operations and technologies in use.,,,Does the organization develop and keep current a catalog of applicable risks associated with the organization's business operations and technologies in use?,5,Protect,X,X,X,There is no evidence of a capability to develop and keep current a catalog of applicable risks associated with the organization's business operations and technologies in use.,"Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop and keep current a catalog of applicable risks associated with the organization's business operations and technologies in use.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop and keep current a catalog of applicable risks associated with the organization's business operations and technologies in use.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ID.RA-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1 R-SA-2",,,,,,,,R-BC-1,R-BC-2,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Assessment ,RSK-04,"Mechanisms exist to conduct recurring assessments of risk that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data.","- Risk Management Program (RMP) - Risk assessment - Business Impact Analysis (BIA) - Data Protection Impact Assessment (DPIA)",E-RSK-04,"Does the organization conduct recurring assessments of risk that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data?",10,Identify,X,X,X,"There is no evidence of a capability to conduct recurring assessments of risk that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data.","Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct recurring assessments of risk that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data.","CC3.2 CC7.3 A1.2","CC3.2-POF1 CC3.2-POF6 CC3.4-POF1 CC3.4-POF2 CC3.4-POF3 CC3.4-POF4 CC3.4-POF5",,,,,,APO12.02,"Principle 7 Principle 11",CEK-07,RSM-01,SO2,1.2.4,,"RQ-06-23 RQ-06-24 RQ-06-25 RQ-06-26 RQ-06-27 RQ-06-28.a RQ-06-28.b RQ-06-29 RQ-06-30.a RQ-06-30.b RQ-06-30.c RQ-06-30.d RQ-06-31 RQ-06-32",8.2.3,"6.1.2 8.2","6.1.2(d) 6.1.2(d)(1) 6.1.2(d)(2) 6.1.2(d)(3) 6.1.2(e) 6.1.2(e)(1) 6.1.2(e)(2) 8.2",11.1.4 ,"5.8 7.5",11.1.4 ,,"5.4.1.2 6.8.1.2",5.12,5.4,"4.3.4 5.3.1 5.3.4 5.3.5 5.3.6 5.4 5.5 6.7",,OR-2.0,"Sec 4(C)(3) Sec 4(C)(4)","GOVERN 1.5 MANAGE 1.0 MAP 5.1","ID.DE-P1 ID.DE-P5 GV.MT-P1",,"P-3 P-14 R-2",3.2,RA-3,RA-3,RA-3,RA-3,RA-3,RA-3,RA-3,RA-3,RA-3,,,RA-3,RA-3,RA-3,,RA-3,RA-3,,RA-3,RA-3,RA-3,3.11.1,3.11.1.a,"3.11.1[a] 3.11.1[b]","A.03.11.01.a A.03.11.01.b","3.11.5e 3.11.6e","RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4",ID.RA-5,GV.RM-06,,12.2,"12.3 12.3.1 12.3.2",,12.3.1,,,12.3.1,,"12.3.1 12.3.2",12.3.1,,A.3.2,7.4A,1.4.1,5.1,7.3.3,7.3.3,"RISK-2.G.MIL2 RISK-3.A.MIL1","RISK:SG2.SP1 RISK:SG2.SP2 RISK:SG3.SP1 RISK:SG3.SP2 RISK:SG4.SP1 RISK:SG4.SP2 RISK:SG4.SP3 RISK:SG5.SP1 RISK:SG5.SP2",,,,RA.L2-3.11.1,"RA.L2-3.11.1 TBD - 3.11.5e TBD - 3.11.6e",,RA.L2-3.11.1,"RA.L2-3.11.1 RA.L3-3.11.5e RA.L3-3.11.6e",RA-3,,,,,,,,RA-3 ,RA-3 ,RA-3 ,RA-3 ,RA-3 ,RA-3,RA-3,RA-3,RA-3,RA-3,,"D1.RM.RA.B.1 D1.RM.RA.E.2 D1.RM.RA.E.1",,,"314.4(b) 314.4(b)(1) 314.4(b)(1)(i) 314.4(b)(1)(ii) 314.4(b)(1)(iii)","164.308(a)(1)(ii)(A) 164.308(a)(1)(ii)(B) 164.308(a)(1)(ii)(D)",,7.M.C,"7.M.C 9.L.A",RA-3,,"CIP-014-2 R1",8-402,14.1,,,"17 CFR 229.106(B)(1) 17 CFR 229.106(B)(1)(i) 17 CFR 229.106(B)(1)(ii) 17 CFR 229.106(B)(1)(iii) 17 CFR 229.106(B)(2)",,5.6,RA-3 ,RA-3 ,RA-3 ,,,,,,,,,,17.03(2)(b),,,"Sec 4(2)(b)(ii)(A)(2) Sec 4(2)(b)(ii)(A)(3) Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(C)(1)",622(b)(A)(ii) ,"38-99-20(C)(3) 38-99-20(C)(4)",,"Sec 7 Sec 11",RA-3,RA-3,RA-3,,,,"3.3.1(10) 3.3.1(13)(b) 3.3.3(20) 3.7.2(82)","Art 8.3 Art 8.7",Art 17,"Art 35.1 Art 35.2 Art 35.3 Art 35.7 Art 35.8 Art 35.9 Art 35.11",Article 21.1,,,,,,,,,,3.10,"OIS-07 SP-03",,,,"1.2 2.2",,,,,,,,,,,,1-2-1-1,TPC-31,3.2.1.2,1-5-3,1-3-1-2,,,Sec 19,,7.1.1 [OP.PL.1],,,,,A2.a,A2,,,,,,,,,1587,,"27(a) 27(b) 27(c) 28",,,,,,,,,"4.4.7 4.4.7.1 4.4.7.3 4.4.7.4 4.5.5 4.5.5.1 4.6 4.6.1 11.1.4",,1.4.1,"2.3.27.C.01 2.3.27.C.02 5.9.23.C.01 23.2.16.C.02",,,,,"4.1.4(b) 4.3.2",,,,,,5.5,,"2.1 6.8",,,,,,,,,,,,x,"NAIC MA 201 CMR 17 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Register,RSK-04.1,Mechanisms exist to maintain a risk register that facilitates monitoring and reporting of risks.,"- Risk Management Program (RMP) - Risk register - Governance, Risk and Compliance Solution (GRC) tool (SCFConnect, SureCloud,Ostendio, ZenGRC, Archer, RSAM, MetricStream, etc.)",E-RSK-03,Does the organization maintain a risk register that facilitates monitoring and reporting of risks?,10,Identify,,X,,There is no evidence of a capability to maintain a risk register that facilitates monitoring and reporting of risks.,"Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Risk Management efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC3.2,CC4.2-POF3,,,,,,"APO12.03 APO12.05",Principle 7,"A&A-06 CEK-07 TVM-09",GVN-08,,,,"RQ-09-05 RQ-09-06.a RQ-09-06.b",,8.3,,,,,,,5.12,"5.6 5.7","4.3.6 5.5",,OR-2.0,Sec 4(D)(3),"GOVERN 1.5 MANAGE 1.4 MANAGE 2.0 MEASURE 3.0",ID.DE-P1,,,3.4,,,,,,,,,,,,,,,,,,,,,,,"3.12.2.a 3.12.2.a.1 3.12.2.a.2 3.12.2.b",,,,,,,,,"12.3.1 12.3.2",,12.3.1,,,12.3.1,,"12.3.1 12.3.2",12.3.1,,A.3.8,7.4A,1.4.1,7.1.2,7.3.3,7.3.3,"RISK-2.E.MIL2 RISK-2.F.MIL2 RISK-3.F.MIL2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,314.4(c)(2),,,,,2.E.5,,,,,,,,,,,,,,,,,,,,,,,,,,,38-99-20(D)(3),,Sec 7,,,,,,,"3.3.1(10) 3.3.1(13)(d)",,Art 17,Art 35.1,,,,,,,,,,,,SP-03,,,,"2.2 6.8",,,,,,,,,,,,1-2-1-2,TPC-31,3.2.1.4,,"1-3-1-3 1-3-1-6",,,Sec 19,,,,,,,A2.a,,,,,,,,,,,,,,,,,,,,,"4.4.7.2 4.5.5",,,,,,,,"4.1.3 4.1.4(d) 4.5.2 4.5.3",,,,,,5.5,,6.24,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Ranking ,RSK-05,Mechanisms exist to identify and assign a risk ranking to newly discovered security vulnerabilities that is based on industry-recognized practices. ,- Risk Management Program (RMP),,Does the organization identify and assign a risk ranking to newly discovered security vulnerabilities that is based on industry-recognized practices? ,9,Identify,,X,,There is no evidence of a capability to identify and assign a risk ranking to newly discovered security vulnerabilities that is based on industry-recognized practices. ,"Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and assign a risk ranking to newly discovered security vulnerabilities that is based on industry-recognized practices. ",CC3.2,"CC3.1-POF6 CC3.2-POF4 CC3.2-POF8",,,,,,APO12.03,"Principle 7 Principle 12","BCR-02 CEK-07","RSM-01 RSM-02",,,,,,8.3,,,,,,,,5.5,4.3.5,,OR-2.0,Sec 4(D)(3),MANAGE 1.2,ID.DE-P1,"RV.3 RV.3.1 RV.3.2",R-2,3.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.RM-06,,6.1,12.3,,,,,,,,,,I.1.7.2,7.4A,1.4.1,7.1.3,,,"RISK-2.C.MIL2 RISK-3.C.MIL2 RISK-3.D.MIL2 RISK-3.E.MIL2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,314.4(c)(2),,,,,,,,,,,,"17 CFR 229.106(B)(1) 17 CFR 229.106(B)(2)",,,,,,,,,,,,,,,,,,,,38-99-20(D)(3),,,,,,,,,3.3.1(10),,Art 17,,,,,,,,,,,,,,,,,2.2,,,,,,,,,,,,,TPC-31,3.2.1.2,,,,,Sec 19,,,,,,,A2.a,,,,,,,,,,,,,,,,,,,,,"4.4.7.3 4.4.7.4 4.5.5",,,,,,,,4.2.1,,,,,,5.5,,2.2,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Remediation ,RSK-06,Mechanisms exist to remediate risks to an acceptable level. ,"- Risk Management Program (RMP) - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)",,Does the organization remediate risks to an acceptable level? ,10,Identify,X,X,X,There is no evidence of a capability to remediate risks to an acceptable level. ,"Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to remediate risks to an acceptable level. ","CC3.2 CC4.2 CC7.4","CC1.1-POF4 CC5.3-POF4",,18.3,,18.3,18.3,APO12.06,"Principle 7 Principle 13 Principle 17",CEK-07,"RSM-01 RSM-02",,,,"RQ-08-08 RQ-09-05 RQ-09-06.a RQ-09-06.b RQ-09-07.a RQ-09-07.b RQ-09-07.c RQ-09-07.d RQ-15-17.a RQ-15-17.b RQ-15-17.c RQ-15-17.d",,"6.1.3 8.3 10.1","6.1.3 6.1.3(a) 6.1.3(b) 6.1.3(c) 6.1.3(d) 6.1.3(e) 6.1.3(f) 8.3",,5.8,,,5.4.1.3,,5.5,4.3.5,,OR-2.0,Sec 4(D)(3),"MANAGE 1.2 MANAGE 2.0 MANAGE 4.0","ID.DE-P1 ID.RA-P5",,A-5,3.3,,,,,,,,,,,,,,,,,,,,,,3.11.3,,,,,,ID.RA-6,ID.RA-06,,,"10.7 10.7.1 10.7.2 10.7.3 12.3 A3.3.1.2",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,P.4.4,,1.4.1,7.1.1,"7.3.3 7.3.4","7.3.3 7.3.4","RISK-4.A.MIL1 RISK-4.B.MIL2 RISK-4.C.MIL3 RISK-4.D.MIL3 RISK-4.E.MIL3",,,,,RA.L2-3.11.3,RA.L2-3.11.3,,RA.L2-3.11.3,RA.L2-3.11.3,,,,,,,,,,,,,,,,,,,,"D5.IR.Pl.B.1 D5.DR.Re.E.1 D5.IR.Pl.E.1",,,314.4(c)(2),,,,,,,,,,6.11,,,,5.6,,,,,,,,,,,,,,,,,,38-99-20(D)(3),,,,,,,,,3.3.1(13)(c),,Art 17,,Article 21.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-31,,,,,,Sec 19,,,,,,,A2.a,,,,,,,,,,,,31,,,,,,,,,"4.4.8 4.4.8.1 4.4.8.2 4.4.8.3 4.4.8.4 4.4.8.5 4.5.5 4.5.5.2 4.5.5.3 4.7.1 4.7.1.1 4.7.1.2 4.7.1.3 4.7.1.4 4.7.1.5 4.7.1.6 4.7.1.7",,,,,,,,"4.1.3 4.1.4(c) 4.4.1 4.4.2 4.4.3 13.6.1 13.6.1(a) 13.6.1(b) 13.6.1(c)",,,,,,5.5,,"2.2 2.7 6.8",,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Response,RSK-06.1,"Mechanisms exist to respond to findings from cybersecurity & data privacy assessments, incidents and audits to ensure proper remediation has been performed.",- Risk Management Program (RMP),,"Does the organization respond to findings from cybersecurity & data privacy assessments, incidents and audits to ensure proper remediation has been performed?",9,Identify,X,X,X,"There is no evidence of a capability to respond to findings from cybersecurity & data privacy assessments, incidents and audits to ensure proper remediation has been performed.","Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to respond to findings from cybersecurity & data privacy assessments, incidents and audits to ensure proper remediation has been performed.","CC3.2 CC3.3",CC3.2-POF5,,,,,,APO12.06,"Principle 7 Principle 8","A&A-06 CEK-07","RSM-01 RSM-02",,,,"RQ-08-08 RQ-09-05 RQ-09-06.a RQ-09-06.b RQ-09-07.a RQ-09-07.b RQ-09-07.c RQ-09-07.d RQ-15-17.a RQ-15-17.b RQ-15-17.c RQ-15-17.d",,8.3,"6.1.3 6.1.3(a) 6.1.3(b) 6.1.3(c) 6.1.3(d) 6.1.3(e) 6.1.3(f) 8.3",,5.8,,,,,5.5,4.3.5,,OR-2.0,Sec 4(D)(3),"MANAGE 1.3 MANAGE 2.0 MANAGE 2.3 MANAGE 2.4 MANAGE 4.0","ID.DE-P1 ID.RA-P5",,"M-3 R-3",3.3,,,,,RA-7,RA-7,RA-7,RA-7,RA-7,,,RA-7,RA-7,RA-7,,RA-7,RA-7,,RA-7,RA-7,RA-7,,,,,,,,GV.RM-04,,,"10.7 10.7.1 10.7.2 10.7.3",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,A.3.4,,1.4.1,,"7.3.3 7.3.4","7.3.3 7.3.4","RISK-4.A.MIL1 RISK-4.B.MIL2 RISK-4.C.MIL3 RISK-4.D.MIL3 RISK-4.E.MIL3 SITUATION-3.G.MIL3",,,,,,,,,,,,,,,,,,,,,,,RA-7,RA-7,RA-7,RA-7,RA-7,,,,,314.4(c)(2),,,,,RA-7,,,,,,,17 CFR 229.106(B)(1),,,,,,,,,,,,,,,,,,,,38-99-20(D)(3),,,RA-7,,,,,,3.3.1(13)(c),,Art 17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-31,3.2.1.3,,,,,Sec 19,,,,,,,A2.a,,,,,,,,,,,,,,,,,,,,,"4.4.8 4.4.8.1 4.4.8.2 4.4.8.3 4.4.8.4 4.4.8.5 4.5.5 4.5.5.2 4.5.5.3",,,,,,,,"4.1.5 4.5.3",,,,,,5.5,,6.24,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Compensating Countermeasures,RSK-06.2,Mechanisms exist to identify and implement compensating countermeasures to reduce risk and exposure to threats.,,,Does the organization identify and implement compensating countermeasures to reduce risk and exposure to threats?,9,Respond,,X,,There is no evidence of a capability to identify and implement compensating countermeasures to reduce risk and exposure to threats.,"SP-CMM1 is N/A, since a structured process is required to identify and implement compensating countermeasures to reduce risk and exposure to threats.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify and implement compensating countermeasures to reduce risk and exposure to threats.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and implement compensating countermeasures to reduce risk and exposure to threats.",,"CC9.1-POF1 CC9.1-POF2",,,,,,,,,,,,CCSC 2 (4.3),"PM-06-13 RQ-06-14",,,,,,,,,,,,,OR-2.0,,MANAGE 2.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ID.RA-07,,,"1.2.6 2.2.4 12.3.1 12.3.2",,"1.2.6 2.2.4 12.3.1",,1.2.6,"2.2.4 12.3.1",2.2.4,"1.2.6 2.2.4 12.3.1 12.3.2","1.2.6 2.2.4 12.3.1",,A.1.3.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,314.4(c)(2),,,,,,,,,,,,,,,,,,"III.C.1.b III.C.2 III.C.3 III.E.3",,,,,,,,,,,,,,,,,,,,,,,3.3.1(13)(c),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-31,,,"1-3-1-6 1-3-1-7",,,Sec 19,,,,,,,A2.a,,,,,,,,,,1809,,,,,,,,,,,,,,12.4.5.C.01,,,,"4.2(b) 4.3(c)","4.2.1 4.4.2 4.4.3",,,,,,5.8,,"6.16 6.24",3.2.6,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Assessment Update,RSK-07,"Mechanisms exist to routinely update risk assessments and react accordingly upon identifying new security vulnerabilities, including using outside sources for security vulnerability information. ",- Risk Management Program (RMP),,"Does the organization routinely update risk assessments and react accordingly upon identifying new security vulnerabilities, including using outside sources for security vulnerability information? ",9,Identify,,X,,"There is no evidence of a capability to routinely update risk assessments and react accordingly up on identifying new security vulnerabilities, including using outside sources for security vulnerability information. ","SP-CMM1 is N/A, since a structured process is required to routinely update risk assessments and react accordingly up on identifying new security vulnerabilities, including using outside sources for security vulnerability information. ","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to routinely update risk assessments and react accordingly up on identifying new security vulnerabilities, including using outside sources for security vulnerability information. ",CC3.2,,,,,,,APO12.05,Principle 7,,GVN-08,SO2,,,,,8.2,,,,,,,,"5.4 5.6",4.3.4,,OR-2.0,,,"ID.DE-P5 GV.MT-P1",,M-2,"3.2 3.3 3.4",,,,,,,,,,,,,,,,,,,,,,,3.11.1.b,,,,,,,,6.1,"12.3.1 12.3.2",,12.3.1,,,12.3.1,,"12.3.1 12.3.2",12.3.1,,A.3.1,7.4A,,,,,RISK-3.G.MIL3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,314.4(b)(2),,,,,,,,,,,,,,5.6,,,,,,,,,,,,,"17.03(2)(i) 17.03(2)(b)(3)",,,,622(2)(A)(iv),,,Sec 7,,,,,,,3.3.1(13)(f),,Art 17,,,,,,,,,,,,,,,,,2.2,,,,,,,,,,,,,TPC-31,,"1-5-3-2 1-5-4",,,,Sec 19,,,,,,,A2.a,,,,,,,,,,,,,,,,,,,,,"4.5.5 4.6 4.6.1",,,,,,,,4.1.5,,,,,,,,,,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Business Impact Analysis (BIA) ,RSK-08,Mechanisms exist to conduct a Business Impact Analysis (BIA) to identify and assess cybersecurity and data protection risks.,"- Risk Management Program (RMP) - Data Protection Impact Assessment (DPIA) - Business Impact Analysis (BIA)",E-CHG-01,Does the organization conduct a Business Impact Analysis (BIA) to identify and assess cybersecurity and data protection risks?,8,Identify,,X,X,There is no evidence of a capability to conduct a Business Impact Analysis (BIA) to identify and assess cybersecurity and data protection risks.,"Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct a Business Impact Analysis (BIA) to identify and assess cybersecurity and data protection risks.","CC3.2 CC5.2 PI1.1","CC9.1-POF1 CC9.1-POF2",,,,,,"APO12.03 BAI04.02","Principle 7 Principle 11",BCR-02,"RSM-01 RSM-02 RSM-03",,,,RQ-15-01,"8.2 8.2.1 8.2.2",8.2,,,5.30,,,,5.12,5.4,"4.3.4 5.3.3 5.5",,,Sec 4(D)(3),,,,,3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,ID.RA-4,,,,A3.2.2,,,,,,,,,,K.11,,,5.1,,,,SC:SG7.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,"D5.RE.Re.B.1 D5.ER.Er.Ev.1",,,,,,7.M.C,7.M.C,,,,,,,,,,,,,,,,,,,,,,,,,,,,38-99-20(D)(3),,,,,,,,,3.7.1(78),Art 11.5,Art 17,"Art 35.1 Art 35.2 Art 35.3 Art 35.6 Art 35.8 Art 35.9 Art 35.11 Art 36.3",,,,,Art 21,,,,,,,BCM-02,,,,"6.8 16.6",,,,,,,,,,,,,,,1-5-3-4,,,,Sec 19,,,,,,,,,,,,,,,,,,,,21(d),,,,,,,,"4.5.5 4.6 4.6.1",,,,,,,,"5.1.3 5.3.3",Art 33,,,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Supply Chain Risk Management (SCRM) Plan,RSK-09,"Mechanisms exist to develop a plan for Supply Chain Risk Management (SCRM) associated with the development, acquisition, maintenance and disposal of systems, system components and services, including documenting selected mitigating actions and monitoring performance against those plans.",- Risk Management Program (RMP),E-RSK-02,"Does the organization develop a plan for Supply Chain Risk Management (SCRM) associated with the development, acquisition, maintenance and disposal of systems, system components and services, including documenting selected mitigating actions and monitoring performance against those plans?",10,Identify,X,X,X,"There is no evidence of a capability to develop a plan for Supply Chain Risk Management (SCRM) associated with the development, acquisition, maintenance and disposal of systems, system components and services, including documenting selected mitigating actions and monitoring performance against those plans.","SP-CMM1 is N/A, since a structured process is required to develop a plan for Supply Chain Risk Management (SCRM) associated with the development, acquisition, maintenance and disposal of systems, system components and services, including documenting selected mitigating actions and monitoring performance against those plans.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop a plan for Supply Chain Risk Management (SCRM) associated with the development, acquisition, maintenance and disposal of systems, system components and services, including documenting selected mitigating actions and monitoring performance against those plans.","CC3.1 CC3.2 CC4.1","CC3.2-POF7 CC9.2-POF1 CC9.2-POF2 CC9.2-POF3 CC9.2-POF4 CC9.2-POF5 CC9.2-POF6 CC9.2-POF7 CC9.2-POF8 CC9.2-POF9 CC9.2-POF10 CC9.2-POF11 CC9.2-POF12",,15.2,,15.2,15.2,"APO12.01 APO12.02 APO12.03 APO12.04","Principle 6 Principle 7 Principle 16","STA-02 STA-03 STA-07 STA-08 STA-12 STA-13",SDV-02,,,,,,,,,"5.21 8.30",,,,,"5.1 5.2 5.3",4.3.3,,,Sec 4(D)(3),MANAGE 3.0,"ID.DE-P2 ID.DE-P3",PW.4.1,,3.1,SA-12,,,SA-12,"PM-29 PM-30 SR-2 SR-7",,SR-2,SR-2,SR-2,"PM-29 PM-30 SR-7",,SR-2,SR-2,SR-2,,"PM-29 PM-30 SR-2 SR-7",SR-2,,"PM-29 PM-30","PM-30 SR-7","SR-2 SR-7",,"3.11.1.a 3.11.1.b 3.17.1.a 3.17.1.b 3.17.1.c 3.17.3.a 3.17.3.b",,"A.03.17.01.a[01] A.03.17.01.a[02] A.03.17.01.a[03] A.03.17.01.a[04] A.03.17.01.a[05] A.03.17.01.a[06] A.03.17.01.a[07] A.03.17.01.a[08] A.03.17.01.a[09] A.03.17.01.b[01] A.03.17.01.b[02] A.03.17.01.c",3.11.7e,,"ID.SC-1 ID.SC-3","GV.SC GV.SC-10",,,,,,,,,,,,,I.2.2.8,,,,7.2.2.5,7.2.2.5,THIRD-PARTIES-1.C.MIL2,,"6.1 6.2",,,,TBD - 3.11.7e,,,RA.L3-3.11.7e,,,,,,,,,,,,,,SR-2,SR-2,SR-2,SR-2,SR-2,,,,,,,5.S.B,5.M.B,"5.M.B 9.L.C",SR-2,,,,,,,17 CFR 229.106(B)(1)(iii),,,,,,,,,,,,,,,,,,,,38-99-20(D)(3),,,SR-2,,,,,,,"Art 28.1 Art 28.1(a) Art 28.1(b) Art 28.1(b)(i) Art 28.1(b)(ii) Art 28.2 Art 28.3 Art 28.4(a) Art 28.4(b) Art 28.4(c) Art 28.4(d) Art 28.4(e) Art 28.5 Art 28.6 Art 28.7(a) Art 28.7(b) Art 28.7(c) Art 28.7(d) Art 28.8 Art 28.8(a) Art 28.8(b) Art 28.8(c)",,,"Article 21.2(d) Article 21.3",,,,,,,,,,,OIS-07,,,,"16.3 17.3 17.11",,,,,,,,,,,,,,,1-5-3-3,,,,,,,,,,,A4.a,A4,,,,,,,,,"0731 1567 1785",,,,,,,,,,,"15.1.1.16.B 15.1.2.18.PB",,,"2.2.7.C.01 12.7.14.C.01 12.7.14.C.02 12.7.14.C.03 12.7.15.C.01 12.7.15.C.02 12.7.16.C.01 12.7.16.C.02 12.7.16.C.03 12.7.17.C.01 12.7.18.C.01 12.7.18.C.02 12.7.19.C.01 12.7.19.C.02 12.7.20.C.01 12.7.20.C.02 12.7.20.C.03 12.7.20.C.04 12.7.20.C.05 12.7.21.C.01",,,,,5.3.1,,,,,,,,"2.3 4.25",,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Risk Management,Supply Chain Risk Assessment,RSK-09.1,"Mechanisms exist to periodically assess supply chain risks associated with systems, system components and services.","- Risk Management Program (RMP) - Data Protection Impact Assessment (DPIA)",E-RSK-05,"Does the organization periodically assess supply chain risks associated with systems, system components and services?",9,Identify,X,X,,"There is no evidence of a capability to periodically assess supply chain risks associated with systems, system components and services.","Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to periodically assess supply chain risks associated with systems, system components and services.","CC3.2 CC9.2","CC3.2-POF7 CC9.2-POF1 CC9.2-POF2 CC9.2-POF3 CC9.2-POF4 CC9.2-POF5 CC9.2-POF6 CC9.2-POF7 CC9.2-POF8 CC9.2-POF9 CC9.2-POF10 CC9.2-POF11 CC9.2-POF12",,,,,,"APO12.01 APO12.02 APO12.03 APO12.04",Principle 7,"STA-07 STA-08 STA-13 STA-14",,,,,,,8.2,,,8.30,,,,5.12,5.4,4.3.4,,,,MANAGE 3.1,"ID.DE-P5 GV.MT-P1",,,3.2,,,,,RA-3(1),,RA-3(1),RA-3(1),RA-3(1),,,RA-3(1),RA-3(1),RA-3(1),,,,,,,,,"3.11.1.b 3.17.3.a",,,3.11.6e,,,"GV.SC-01 GV.SC-06 ID.IM-02",,,,,,,,,,,,,I.2.2.8,,,,7.2.2.5,7.2.2.5,,,,,,,TBD - 3.11.6e,,,RA.L3-3.11.6e,,,,,,,,,,,,,,RA-3(1),RA-3(1),RA-3(1),RA-3(1),RA-3(1),,,,,,,5.S.B,5.M.B,"5.M.B 9.L.C",RA-3(1),,,,,,,17 CFR 229.106(B)(1)(iii),,,,,,,,,,,,,,,,,,,,,,,RA-3(1),,,,,,,"Art 28.4(a) Art 28.4(b) Art 28.4(c) Art 28.4(d) Art 28.4(e)",Art 17,"Art 35.1 Art 35.2 Art 35.3 Art 35.6 Art 35.8 Art 35.9 Art 35.11 Art 36.3",,,,,,,,,,,,,,,,"16.6 17.3 17.11",,,,,,,,,,,,,,,1-5-3-3,,,,,,,,,,,A4.a,A4,,,,,,,,,1452,,,,,,,,,,,"4.5.5 4.6 4.6.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Risk Management,AI & Autonomous Technologies Supply Chain Impacts,RSK-09.2,"Mechanisms exist to address Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks and benefits arising from the organization's supply chain, including third-party software and data.",,,"Does the organization address Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks and benefits arising from the organization's supply chain, including third-party software and data?",8,Protect,X,X,,"There is no evidence of a capability to address Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks and benefits arising from the organization's supply chain, including third-party software and data.","SP-CMM1 is N/A, since a structured process is required to address Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks and benefits arising from the organization's supply chain, including third-party software and data.","SP-CMM2 is N/A, since a well-defined process is required to address Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks and benefits arising from the organization's supply chain, including third-party software and data.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to address Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks and benefits arising from the organization's supply chain, including third-party software and data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address Artificial Intelligence (AI) and Autonomous Technologies (AAT)-related risks and benefits arising from the organization's supply chain, including third-party software and data.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 6.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Data Protection Impact Assessment (DPIA) ,RSK-10,"Mechanisms exist to conduct a Data Protection Impact Assessment (DPIA) on systems, applications and services that store, process and/or transmit Personal Data (PD) to identify and remediate reasonably-expected risks.","- Risk Management Program (RMP) - Data Protection Impact Assessment (DPIA) - Privacy Impact Assessment (PIA)",E-PRI-04,"Does the organization conduct a Data Protection Impact Assessment (DPIA) on systems, applications and services that store, process and/or transmit Personal Data (PD) to identify and remediate reasonably-expected risks?",9,Identify,,X,X,"There is no evidence of a capability to conduct a Data Protection Impact Assessment (DPIA) on systems, applications and services that store, process and/ or transmit Personal Data (PD) to identify and remediate reasonably-expected risks.","Risk Management efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to identify, assess, remediate and report on risk. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Risk management processes (e.g., risk assessments) focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","Risk Management efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct a Data Protection Impact Assessment (DPIA) on systems, applications and services that store, process and/ or transmit Personal Data (PD) to identify and remediate reasonably-expected risks.","CC3.2 CC5.2 PI1.1",,,,,,,"APO12.01 APO12.02 APO12.03 APO12.04","Principle 7 Principle 11","DSP-09 STA-14","GVN-07 GVN-08 LGL-01 LGL-03",,"1.2.4 4.2.3",,,,8.2,,18.1.4,5.33,18.1.4,"A.11.1 A.11.2 ",7.2.5,5.12,5.4,"4.3.4 5.3.3 5.5",,,Sec 4(D)(3),,"ID.IM-P7 ID.RA-P1 ID.RA-P2 ID.RA-P3 ID.RA-P4 ID.RA-P5 ID.DE-P2 ID.DE-P3 GV.PO-P6 GV.MT-P1 GV.MT-P4 GV.MT-P5",,,3.2,AR-2,,,,RA-8,RA-8,,,,,,,,,,,,,,,,,,,,,,,,,,A3.2.2,,,,,,,,,,P.4,,,5.1,,,,"OPD:SG1.SP1 RISK:SG5.SP1 RISK:SG5.SP2",,,,,,,,,AR-2,6502,,,,,,,,,,,,,,,,,,,,,,,,7.M.C,"7.M.C 4.L.B",RA-8,,,,,,,,,,,,,,,,,,"6-1-1305(2)(c) 6-1-1305(4) 6-1-1309(1) 6-1-1309(2) 6-1-1309(2)(a) 6-1-1309(2)(a)(I) 6-1-1309(2)(a)(II) 6-1-1309(2)(a)(III) 6-1-1309(2)(a)(IV) 6-1-1309(2)(b) 6-1-1309(2)(c) 6-1-1309(3) 6-1-1309(4) 6-1-1309(5) 6-1-1309(6)",,,,,,,,,38-99-20(D)(3),,,,,,,"59.1-580.A 59.1-580.A.1 59.1-580.A.2 59.1-580.A.3 59.1-580.A.3(i) 59.1-580.A.3(ii) 59.1-580.A.3(iii) 59.1-580.A.3(iv) 59.1-580.A.4 59.1-580.A.5 59.1-580.B 59.1-580.C 59.1-580.D 59.1-580.E 59.1-580.F",,,,Art 17,"Art 35.1 Art 35.2 Art 35.3 Art 35.6 Art 35.8 Art 35.9 Art 35.11 Art 36.1 Art 36.2 Art 36.3",,,,,,,,,,,,BCM-02,,,,"16.6 17.3",,,"31(1) 31(2)(a) 31(2)(b) 31(2)(c) 31(2)(d) 31(3) 31(4) 31(5) 31(6)",,,,,,,Article 8.2,,,,,1-5-3-4,,"Article 54 Article 54.x",,Sec 19,,,,,,,,,,,"Article 35(1) Article 35(2) Article 35(3)(a) Article 35(3)(b) Article 35(3)(c) Article 35(7)(a) Article 35(7)(b) Article 35(7)(c) Article 35(7)(d) Article 35(8) Article 35(9) Article 35(10) Article 35(11)",,,,,,,,,21(d),,,"Article 55 Article 55(1) Article 55(2) Article 55(3) Article 55(4) Article 55(5) Article 56 Article 56(1) Article 56(2) Article 56(3)",,,,,"4.5.5 4.6 4.6.1 18.1.4",,,,,,,,"5.1.3 5.3.3",Art 33,,,,,,,,,,,,,,,,,,,x,NAIC,,x,"R-AC-4 R-BC-2 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-2",,,,R-AC-4,,,,,R-BC-2,,,,,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Monitoring,RSK-11,"Mechanisms exist to ensure risk monitoring as an integral part of the continuous monitoring strategy that includes monitoring the effectiveness of cybersecurity & data privacy controls, compliance and change management.",,,"Does the organization ensure risk monitoring as an integral part of the continuous monitoring strategy that includes monitoring the effectiveness of cybersecurity & data privacy controls, compliance and change management?",9,Detect,,X,,"There is no evidence of a capability to ensure risk monitoring as an integral part of the continuous monitoring strategy that includes monitoring the effectiveness of cybersecurity & data privacy controls, compliance and change management.","SP-CMM1 is N/A, since a structured process is required to ensure risk monitoring as an integral part of the continuous monitoring strategy that includes monitoring the effectiveness of cybersecurity & data privacy controls, compliance and change management.","Risk Management efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Risk management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • Data/process owners are expected to self-manage risks associated with their systems, applications, services and data, based on the organization’s published policies and standards, including the identification, remediation and reporting of risks. • Data/process owners work with IT/cybersecurity personnel and Data Protection Officers (DPOs) to ensure applicable statutory, regulatory and contractual obligations are properly addressed, including the storage, transmission and processing of sensitive/regulated data. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for risk management. o Implement and maintain a form of Risk Management Program (RMP) that provides operational guidance on how risk is identified, assessed, remediated and reported. • Risk management processes (e.g., risk assessments) and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure risk monitoring as an integral part of the continuous monitoring strategy that includes monitoring the effectiveness of cybersecurity & data privacy controls, compliance and change management.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure risk monitoring as an integral part of the continuous monitoring strategy that includes monitoring the effectiveness of cybersecurity & data privacy controls, compliance and change management.",,,,,,,,,,,,,,,,,,,,,,,,,,,,OR-2.0,,,,,,,,,,,CA-7(4),CA-7(4),CA-7(4),CA-7(4),CA-7(4),,,CA-7(4),CA-7(4),CA-7(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,A.4.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-7(4),CA-7(4),CA-7(4),CA-7(4),CA-7(4),,,,,,,,,,CA-7(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CA-7(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Risk Management,Risk Culture,RSK-12,Mechanisms exist to ensure teams are committed to a culture that considers and communicates technology-related risk.,,,Does the organization ensure teams are committed to a culture that considers and communicates technology-related risk?,4,Identify,X,,,There is no evidence of a capability to ensure teams are committed to a culture that considers and communicates technology-related risk.,"SP-CMM1 is N/A, since a structured process is required to ensure teams are committed to a culture that considers and communicates technology-related risk.","SP-CMM2 is N/A, since a well-defined process is required to ensure teams are committed to a culture that considers and communicates technology-related risk.","Risk Management efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including appropriately resourcing risk management operations. • A formal Risk Management Program (RMP) provides enterprise-wide guidance on how risk is to be identified, framed (e.g., risk appetite, risk tolerance, risk thresholds, etc.). assessed, mitigated/remediated and reported. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes, applying the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Maintains a common taxonomy of risk-relevant terminology to minimize assumptions and misunderstandings. o Enables data/process owners to conduct annual risk assessment of their operations that includes the likelihood and magnitude of harm, from unauthorized access, use, disclosure, disruption, modification or destruction of the organization's systems and data. o Assists users in making informed risk decisions to ensure data and processes are appropriately protected. o Enables the documentation of risk assessments, risk response and risk monitoring to support statutory, regulatory and contractual obligations for risk management practices. o Maintains a centralized risk register to reflect an active recording and disposition of identified risks. The risk register identifies and assigns a risk ranking to vulnerabilities and risks that is based on industry-recognized practices and facilitates monitoring and reporting of those risks. o Governs supply chain risks associated with the development, acquisition, maintenance and disposal of systems, system components and services","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure teams are committed to a culture that considers and communicates technology-related risk.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure teams are committed to a culture that considers and communicates technology-related risk.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 4.0,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,,,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Secure Engineering Principles ,SEA-01,"Mechanisms exist to facilitate the implementation of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services.",,"E-TDA-01 E-TDA-02 E-TDA-04 E-TDA-08 E-TDA-09","Does the organization facilitate the implementation of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services?",10,Protect,X,X,X,"There is no evidence of a capability to facilitate the implementation of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services.","Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities. • Configurations mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides).","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. ","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for secure engineering practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for secure engineering. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to secure engineering. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including secure engineering. • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services.","CC2.2 CC3.2 CC5.1 CC5.2",,,"12.2 12.6 16.0 16.10",,"12.2 12.6 16.10","12.2 12.6 16.10","APO03.01 APO03.02 APO03.03 APO03.04 APO03.05 APO04.05","Principle 7 Principle 10 Principle 11 Principle 14 Principle 17","DSP-07 DSP-08 IVS-01 IVS-09","CLS-05 GVN-01 GVN-02 SWS-04",SO12,"4.2.3 6.2.2 7.2.2 7.2.3",CCSC 1 (4.2),RC-05-10,,,,"14.1.2 14.2.5 ","8.12 8.26 8.27","14.1.2 14.2.5 ","A.10.1 A.10.4 A.10.5 A.10.6","6.11.2.5 7.4 8.4","5.10 5.11",,,"T1005, T1025, T1041, T1048, T1048.002, T1048.003, T1052, T1052.001, T1078, T1078.001, T1078.003, T1078.004, T1134.005, T1190, T1213.003, T1482, T1547.011, T1567, T1574.002",OR-1.0,"Sec 4(C)(5) Sec 4(D)(1) ","GOVERN 1.0 GOVERN 1.2 GOVERN 1.3 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5","ID.DE-P4 GV.PO-P2 CT.PO-P1 CT.DM-P7 CT.DM-P8 CM.AW-P3",,P-15,"2.1 2.2 2.3 2.4 2.5 2.6 2.7 2.8","AR-7 SA-8 SA-13 SC-1 SC-7(18) SI-1","SC-1 SI-1","SA-8 SC-1 SI-1","SA-8 SC-1 SC-7(18) SI-1","PT-1 SA-8 SC-1 SC-7(18) SI-1 SA-15(5)","PT-1 SI-1","SA-8 SC-1 SI-1","SA-8 SC-1 SI-1","SA-8 SC-1 SC-7(18) SI-1",SA-15(5),,"SA-8 SC-1 SI-1","SA-8 SC-1 SC-7(18) SI-1","SA-8 SC-1 SC-7(18) SI-1","2.1 2.2 2.3 2.4","SA-8 SC-1 SI-1","SA-8 SC-1 SI-1",,"SA-8 SC-1 SI-1","SA-8 SC-1 SI-1","SA-8 SC-1 SI-1",3.13.2,"3.1.12.a 3.1.16.a 3.1.16.b 3.1.16.c 3.1.18.a","3.13.2[a] 3.13.2[c] 3.13.2[d] 3.13.2[f]",,3.14.3e,,"PR.IP-1 PR.PT-5","PR.IR PR.IR-01 PR.IR-02 PR.IR-03","A01:2021 A04:2021 A05:2021",2.2,"1.2 8.5 8.5.1",,8.5.1,,,8.5.1,,8.5.1,8.5.1,,I.2.2,"1.3 2.9",5.3.2,,,,"ARCHITECTURE-1.A.MIL1 ARCHITECTURE-1.B.MIL2 ARCHITECTURE-1.C.MIL2 ARCHITECTURE-1.D.MIL2 ARCHITECTURE-1.E.MIL2 ARCHITECTURE-1.F.MIL2 ARCHITECTURE-1.I.MIL3 ARCHITECTURE-1.J.MIL3 ARCHITECTURE-1.K.MIL3","EXD:SG3.SP2 EXD:SG3.SP4 EXD:SG4.SP1 RRD:SG2.SP1 RRD:SG3.SP2 RRD:SG3.SP3 RTSE:SG1.SP2 RTSE:SG1.SP3 TM:SG1.SP2 TM:SG2.SP1",5.4,5.10.3.2,,SC.L2-3.13.2,"SC.L2-3.13.2 TBD - 3.14.3e",SC.L1-b.1.x,SC.L2-3.13.2,"SC.L2-3.13.2 SI.L3-3.14.3e","AR-7 SA-8 SC-1 SC-7(18) SI-1",,,,"52.204-21(b)(1)(x) 52.204-21(b)(2)",,,"§ 11.30 § 11.50 § 11.70 § 11.100 § 11.100(a) § 11.100(b)","SC-1 SA-8 SC-7(18) SI-1","SC-1 SI-1","SC-1 SA-8 SC-7(18) SI-1","SC-1 SA-8 SC-7(18) SI-1","SC-1 SI-1","SA-8 SC-1 SC-7(18) SI-1","SA-8 SC-1 SI-1","SA-8 SC-1 SC-7(18) SI-1","SA-8 SC-1 SC-7(18) SI-1","SA-8 SC-1 SI-1",,,,"§45(a) §45b(d)(1)",314.4(c),"164.306(b) 164.306(c) 164.306(d) 164.308(a) 164.312 164.314(b) 164.314(b)(1) 164.314(b)(2) 164.314(b)(2)(i) 164.314(b)(2)(ii) 164.314(b)(2)(iii) 164.314(b)(2)(iv) 164.530(c) 164.530(c)(1) 164.530(c)(2)","1.S.A 2.S.A 3.S.A 5.S.A 5.S.B 5.S.C 6.S.A 6.S.C 9.S.A","1.M.A 5.M.B 9.M.B","1.M.A 5.M.B 9.M.B 1.L.A","PT-1 SA-8 SC-1 SC-7(18) SI-1",,,"8-101 8-302 8-311",16.2,,Principle 4,,,5.6,"SC-1 SI-1","SC-1 SI-1","SC-1 SA-8 SC-7(18) SI-1",,,"1798.91.04(a) 1798.91.04(a)(1) 1798.91.04(a)(2) 1798.91.04(a)(3) 1798.91.04(b) 1798.91.04(b)(1) 1798.91.04(b)(2)",,,"6-1-1305(4) 6-1-1308(5)",,,,,,,"Sec 4(2)(b)(ii)(B)(1) Sec 4(2)(b)(ii)(B)(2) Sec 4(2)(b)(ii)(B)(3) Sec 4(2)(b)(ii)(B)(4)",,"38-99-20(C)(5) 38-99-20(D)(1) ",Sec. 521.052,,"SA-8 SC-1 SI-1","SC-1 SI-1","SA-8 SC-1 SC-7(18) SI-1",,59.1-578.3,"§ 2447(a) § 2447(a)(1) § 2447(a)(1)(A) § 2447(a)(1)(B) § 2447(a)(1)(C) § 2447(a)(1)(D) § 2447(a)(2)",3.7.1(79),"Art 9.3(a) Art 9.3(b) Art 9.3(c) Art 9.3(d)","Art 10 Art 14","Art 5.2 Art 24.1 Art 24.2 Art 24.3 Art 25.1 Art 25.2 Art 25.3 Art 32.1 Art 32.2 Art 40.2","Article 21.1 Article 21.5",,,"Sec 14 Sec 15",Art 16,"Art 13 Art 27","Art 27 Art 41 ","Sec 5 Sec 32 Sec 33 Sec 34 Sec 35",Art 34,"Sec 4b Sec 9 Sec 9a Sec 16 Annex",12.1,COS-01,Art 9,"Sec 7 Sec 8",Sec 2,"2.1 15.6 17.7","Sec 16 Sec 17","Sec 31 Sec 33 Sec 34 Sec 35 Sec 42",,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14 Sec 29","Art 1 Art 36 Art 47","Art 14 Art 15 Art 16 Art 17 Art 18 Art 19",,"Art 7 Art 12 Art 19",,TPC-43,"3.3.4 3.3.8 3.3.13","1-6-3-4 2-4-3 2-15-3-3",1-1-2,,,"Sec 19 Sec 21",,7.1.2 [OP.PL.2],"Sec 31 Sec 33","Art 6 Art 7","Art 8 Art 12","Sec 11 Sec 15 Sec 16","B4.a B5.b","B4 B5",,,"Article 5(1)(f) Article 25(1) Article 25(2) Article 25(3) Article 32(1) Article 32(1)(a) Article 32(1)(b) Article 32(1)(c) Article 32(1)(d) Article 32(2) Article 32(3) Article 32(4)",,Principle 5.6,Principle 5.7,"APP Part 8 APP Part 11",,"1739 1743","Principle 4 Principle 5 Principle 6 Principle 7",,"15 18",,Sec 4,,"Principle 4 Sec 33","Sec 7 Sec 8",,Article 20,"14.1.2 14.2.5",Sec 9,"1.5 1.6 1.7","1.2.13.C.01 1.2.13.C.02",,"Sec 25 Sec 29","Sec 24 Sec 26",,"5.6.1 5.6.2 5.6.3 11.2.8","Art 3 Art 29",Art 21,"Art 9 Art 12",,"Sec 6 Sec 12",4,"Art 6.7 Art 46 Art 37 Art 49",,"2.1 2.1.1 2.1.2 3.2.1",Principle 7,Art 7,"Art 4 Art 26","Art 10 Art 14","Art 19 Art 36 Art 37","Art 9 Art 11 Art 15 Art 16 Art 17","Art 5 Art 10",,,,x,"FAR 52.204-21 NAIC",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Secure Engineering & Architecture ,Centralized Management of Cybersecurity & Data Privacy Controls,SEA-01.1,Mechanisms exist to centrally-manage the organization-wide management and implementation of cybersecurity & data privacy controls and related processes.,,,Does the organization centrally-manage the organization-wide management and implementation of cybersecurity & data privacy controls and related processes?,9,Protect,X,X,,There is no evidence of a capability to centrally-manage the organization-wide management and implementation of cybersecurity & data privacy controls and related processes.,"SP-CMM1 is N/A, since a structured process is required to centrally-manage the organization-wide management and implementation of cybersecurity & data privacy controls and related processes.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to centrally-manage the organization-wide management and implementation of cybersecurity & data privacy controls and related processes.",CC5.1,,,16.10,,16.10,16.10,"APO03.01 APO03.03","Principle 10 Principle 17",,"CLS-05 GVN-01 GVN-02",,,,RC-05-10,,,,,8.12,CLD.13.1.4,,,"5.10 5.11",,,,,"Sec 4(C)(5) Sec 4(D)(1) ","GOVERN 1.0 GOVERN 1.2 GOVERN 1.3 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5",GV.PO-P2,,,,PL-9,,,,PL-9,PL-9,,,,,,,,,"3.4 3.4.3 3.4.4 3.4.5 3.4.6 3.4.7 3.4.8 3.4.9 3.4.10 3.4.11 3.4.12 3.4.13 3.4.14",PL-9,,,PL-9,PL-9,,,,,,,,,,"A01:2021 A04:2021 A05:2021",,"1.1 10.7 10.7.1 10.7.2 10.7.3",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,C.7,,,,,,ARCHITECTURE-1.G.MIL2,EF:SG2.SP2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,314.4(c),,"1.S.A 2.S.A 3.S.A 5.S.A 5.S.B 5.S.C 6.S.A 6.S.C 9.S.A","1.M.A 5.M.B 9.M.B","1.M.A 5.M.B 9.M.B 1.L.A",,,,,"15.1 15.2 15.3 15.4",,,,,,,,,"III.B III.C.1 III.C.1.a III.C.1.b III.C.3",,,,,"6-1-1305(4) 6-1-1308(5)",,,,,,,,,"38-99-20(C)(5) 38-99-20(D)(1) ",,,,,,,,,,,,"Art 5.2 Art 24.1 Art 24.2 Art 24.3 Art 25.1 Art 25.2 Art 25.3 Art 32.1 Art 32.2 Art 40.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 8,,,,,,,B4.a,,,,"Article 24(1) Article 24(2) Article 24(3)",,,,,,,,,18,,,,,,,,,,"1.5 1.6 1.7",4.3.19.C.01,,,,,4.5.1,,,,Art 9.1,,,,,"2.1 2.1.1 2.1.2 3.2.1",,,,,,,"Art 5 Art 10",,,,x,NAIC,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Achieving Resilience Requirements,SEA-01.2,Mechanisms exist to achieve resilience requirements in normal and adverse situations.,,,Does the organization achieve resilience requirements in normal and adverse situations?,4,Protect,X,X,,There is no evidence of a capability to achieve resilience requirements in normal and adverse situations.,"SP-CMM1 is N/A, since a structured process is required to achieve resilience requirements in normal and adverse situations.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to achieve resilience requirements in normal and adverse situations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to achieve resilience requirements in normal and adverse situations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.IR-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5 R-IR-4",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,R-GV-5,,,,,,,R-IR-4,,,"MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Alignment With Enterprise Architecture ,SEA-02,"Mechanisms exist to develop an enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles that addresses risk to organizational operations, assets, individuals, other organizations. ","- Administrative controls through corporate policies, standards & procedures. - NIST 800-160 - Enterprise architecture committee","E-TDA-04 E-TDA-09","Does the organization develop an enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles that addresses risk to organizational operations, assets, individuals, other organizations? ",9,Protect,X,X,X,"There is no evidence of a capability to develop an enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles that addresses risk to organizational operations, assets, individuals, other organizations. ","SP-CMM1 is N/A, since a structured process is required to develop an enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles that addresses risk to organizational operations, assets, individuals, other organizations. ","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop an enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. ","CC3.1 CC4.1 CC5.1",,,"12.2 16.10",,"12.2 16.10","12.2 16.10","APO02.01 APO03.01 APO03.02 APO03.03 APO03.04 APO03.05 APO04.02 APO04.03 APO04.04 APO04.05 APO04.06","Principle 6 Principle 10 Principle 16 Principle 18",,"CLS-05 GVN-01 GVN-02 SWS-04",,,,,,,,14.1.1 ,"5.8 8.26","CLD.13.1.4 14.1.1 ",,6.11.1.1,,,,,,,,GV.PO-P2,,P-16,"2.7 2.8","PL-8 PM-7",,PL-8,PL-8,"PL-8 PM-7",PL-8,,PL-8,PL-8,PM-7,,,PL-8,PL-8,"3.4 3.4.1 3.4.2 3.4.3 3.4.4 3.4.5 3.4.6","PL-8 PM-7",,,PM-7,"PL-8 PM-7",PL-8,NFO - PL-8,"3.1.12.a 3.1.16.a 3.1.18.a",,,3.13.1e,,,PR.IR-01,,2.2,1.2,,,,,,,,,,C.5.1,1.3,5.3.2,,,,"ARCHITECTURE-1.A.MIL1 ARCHITECTURE-1.B.MIL2 ARCHITECTURE-1.H.MIL3","CTRL:SG2.SP1 EC:SG3.SP1 EC:SG3.SP2 EF:SG1.SP2 EF:SG1.SP3 EF:SG2.SP1 EXD:SG1.SP1 KIM:SG3.SP1 PM:SG2.SP1 PM:SG2.SP2 RRD:SG2.SP2 RRM:SG1.SP1 RRM:SG1.SP5 RTSE:SG1.SP3 RTSE:SG2.SP2 SC:SG1.SP2 TM:SG1.SP2 TM:SG2.SP2 TM:SG3.SP1 TM:SG3.SP2",5.4,,,,TBD - 3.13.1e,,,,"PL-8 PM-7",,,,,,,,PL-8,,PL-8,PL-8,,PL-8,PL-8,PL-8,PL-8,PL-8,,,,,,,,9.M.E,9.M.E,"PL-8 PM-7",,,8-103,16.2,,,,,,,PL-8,PL-8,,,,,,,,,,,,,,,,,,PM-7,,PL-8,,,,3.7.1(79),"Art 9.3(a) Art 9.3(b) Art 9.3(c) Art 9.3(d)",,,,,,,,,,,,,,,,,,"2.1 17.7",,,,,,,,,,,,,TPC-43,,,,,,,,7.1.2 [OP.PL.2],,,,,"B4.a B5.b",B4,,,,,,,,,1739,,,,,,,,,,,14.1.1,,,"2.3.28.C.01 19.5.26.C.01 19.5.26.C.02 19.5.26.C.03 19.5.26.C.04 19.5.26.C.05 19.5.26.C.06 19.5.26.C.07 19.5.26.C.08 19.5.26.C.09 19.5.26.C.10 19.5.26.C.11 19.5.26.C.12",,,,,"5.6.1 5.6.2 5.6.3 11.2.8",,,,,,,,,"2.1 2.1.1 2.1.2 3.2.1",,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Standardized Terminology,SEA-02.1,Mechanisms exist to standardize technology and process terminology to reduce confusion amongst groups and departments. ,,,Does the organization standardize technology and process terminology to reduce confusion amongst groups and departments? ,3,Protect,,X,,There is no evidence of a capability to standardize technology and process terminology to reduce confusion amongst groups and departments. ,"SP-CMM1 is N/A, since a structured process is required to standardize technology and process terminology to reduce confusion amongst groups and departments. ","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function, enables the use of standardized technology and process terminology to reduce confusion amongst groups and departments. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to standardize technology and process terminology to reduce confusion amongst groups and departments. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to standardize technology and process terminology to reduce confusion amongst groups and departments. ",CC2.2,,,,,,,,Principle 14,,,,,,,,3.0,,,,,,,,,,,,,,GV.PO-P2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.1,,,,,,,ADM:SG1.SP2,,,,,,,,,,,"252.204-7008(a) 252.204-7012(a) 252.204-7019(a) 252.204-7020(a) 252.204-7021(a)",,52.204-21(a),52.204-27(a),,§ 11.3,,,,,,,,,,,,,,,,164.304,,,,"1.8.1 1.8.1.1 1.8.1.2",,,,,,,,,,,,,,,1798.91.05,7001,,,,,,,,,,,,,,,,,,59.1-575,,,,,"Art 4.1 Art 4.2 Art 4.3 Art 4.4 Art 4.5 Art 4.6 Art 4.7 Art 4.8 Art 4.9 Art 4.10 Art 4.11 Art 4.12 Art 4.13 Art 4.14 Art 4.15 Art 4.16 Art 4.17 Art 4.18 Art 4.19 Art 4.20 Art 4.21 Art 4.22 Art 4.23 Art 4.24 Art 4.25 Art 4.26",,,Article 1.8,,,,,,,,,,,,,,,,2,,,1.3,,,,Article 1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.3,,,,,,,,,,,,,,,,6.4,,,,,,,,,,,,x,FAR 52.204-21,,,"R-BC-3 R-EX-4 R-GV-1 R-GV-4 R-GV-5 R-SA-1",,,,,,,,,,R-BC-3,,,,,,R-EX-4,,,,R-GV-1,,,R-GV-4,R-GV-5,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Secure Engineering & Architecture ,Outsourcing Non-Essential Functions or Services,SEA-02.2,Mechanisms exist to identify non-essential functions or services that are capable of being outsourced to external service providers and align with the organization's enterprise architecture and security standards.,,,Does the organization identify non-essential functions or services that are capable of being outsourced to external service providers and align with the organization's enterprise architecture and security standards?,3,Protect,,X,,There is no evidence of a capability to identify non-essential functions or services that are capable of being outsourced to third-party service providers and align with the organization's enterprise architecture and security standards.,"SP-CMM1 is N/A, since a structured process is required to identify non-essential functions or services that are capable of being outsourced to third-party service providers and align with the organization's enterprise architecture and security standards.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify non-essential functions or services that are capable of being outsourced to third-party service providers and align with the organization's enterprise architecture and security standards.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify non-essential functions or services that are capable of being outsourced to third-party service providers and align with the organization's enterprise architecture and security standards.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PM-7(1),,,,,PM-7(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B.1.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Technical Debt Reviews,SEA-02.3,Mechanisms exist to conduct ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/or unsupported technologies.,,,Does the organization conduct ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/or unsupported technologies?,9,Protect,,X,X,There is no evidence of a capability to conduct ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies.,"SP-CMM1 is N/A, since a structured process is required to conduct ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies.","SP-CMM2 is N/A, since a well-defined process is required to conduct ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to conduct ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct ongoing “technical debt” reviews of hardware and software technologies to remediate outdated and/ or unsupported technologies.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GOVERN 1.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"12.3.4 A3.3.2",,,,,,,12.3.4,12.3.4,,D.8.2,2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 8.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Defense-In-Depth (DiD) Architecture,SEA-03,Mechanisms exist to implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. ,,"E-TDA-04 E-TDA-09",Does the organization implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers? ,10,Protect,X,X,,There is no evidence of a capability to implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. ,"SP-CMM1 is N/A, since a structured process is required to implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. ","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement security functions as a layered structure minimizing interactions between layers of the design and avoiding any dependence by lower layers on the functionality or correctness of higher layers. ",,,,,,,,"APO03.01 APO04.05",,IVS-09,,,,,,,,,,,CLD.13.1.4,,,,,,,,,,,,,,"PL-8(1) SC-3(5)",,,,"PL-8(1) SC-3(5)",,,,,"PL-8(1) SC-3(5)",,,,,"3.4 3.4.1 3.4.2 3.4.3 3.4.4 3.4.5 3.4.6",,,,,,,3.13.2,,,,,,,PR.IR-01,"A01:2021 A05:2021",1.3.7,"1.2.1 1.4.1",,"1.2.1 1.4.1",,,,,"1.2.1 1.4.1","1.2.1 1.4.1",,N.2.4.6,,,,,,"ARCHITECTURE-1.A.MIL1 ARCHITECTURE-1.B.MIL2 ARCHITECTURE-1.C.MIL2 ARCHITECTURE-1.D.MIL2 ARCHITECTURE-1.E.MIL2 ARCHITECTURE-1.F.MIL2 ARCHITECTURE-1.I.MIL3 ARCHITECTURE-1.J.MIL3 ARCHITECTURE-1.K.MIL3",,5.4,,,SC.L2-3.13.2,,,SC.L2-3.13.2,SC.L2-3.13.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,PL-8(1),,,,16.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 9.3(a) Art 9.3(b) Art 9.3(c) Art 9.3(d)",,,,,,,,,,,,,,,,,,10.8,,,,,,,,,,,,,,,2-15-3-2,,,,,,7.1.2 [OP.PL.2],,,,,"B4.a B5.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.2.1 11.2.8",,,,,,,,,"3.2.3 3.2.4",,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,System Partitioning ,SEA-03.1,Mechanisms exist to partition systems so that partitions reside in separate physical domains or environments. ,,,Does the organization partition systems so that partitions reside in separate physical domains or environments? ,8,Protect,,,X,There is no evidence of a capability to partition systems so that partitions reside in separate physical domains or environments. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to partition systems so that partitions reside in separate physical domains or environments. ",,,,3.12,,3.12,3.12,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-32,,,,SC-32,,,,,SC-32,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.3.3,,,,,,,,,5.10.3.1,,,,,,,SC-32,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Application Partitioning,SEA-03.2,Mechanisms exist to separate user functionality from system management functionality. ,- Separate interface for non-privileged users.,,Does the organization separate user functionality from system management functionality? ,8,Protect,,,X,There is no evidence of a capability to separate user functionality from system management functionality. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to separate user functionality from system management functionality. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to separate user functionality from system management functionality. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1068, T1189, T1190, T1203, T1210, T1211, T1212, T1611",,,,,,,,"SC-2 SC-2(1)",,SC-2,SC-2,"SC-2 SC-2(1)",,,SC-2,SC-2,SC-2(1),,,SC-2,SC-2,,,,,,,,3.13.3,,"3.13.3[a] 3.13.3[b] 3.13.3[c]",,3.14.3e,,,,"A01:2021 A05:2021",11.3.4,,,,,,,,,,,H.12,,,,,,,"AM:SG1.SP1 KIM:SG2.SP1 KIM:SG2.SP2 TM:SG2.SP1",,5.10.3.1,,SC.L2-3.13.3,"SC.L2-3.13.3 TBD - 3.14.3e",,SC.L2-3.13.3,"SC.L2-3.13.3 SI.L3-3.14.3e",SC-2,,,,,,,,SC-2 ,,SC-2 ,SC-2 ,,SC-2,,SC-2,SC-2,,,,,,,,,,,"SC-2 SC-2(1)",,,,,,,,,,,SC-2 ,SC-2 ,,,,,,,,,,,,,,,,,,,,SC-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Process Isolation ,SEA-04,Mechanisms exist to implement a separate execution domain for each executing process. ,,,Does the organization implement a separate execution domain for each executing process? ,7,Protect,,,X,There is no evidence of a capability to implement a separate execution domain for each executing process. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement a separate execution domain for each executing process. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a separate execution domain for each executing process. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1003, T1003.001, T1003.002, T1003.003, T1003.004, T1003.005, T1003.006, T1003.007, T1003.008, T1068, T1189, T1190, T1203, T1210, T1211, T1212, T1547.002, T1547.005, T1547.008, T1556, T1556.001, T1611",,,,,,,,SC-39,SC-39,SC-39,SC-39,SC-39,,SC-39,SC-39,SC-39,,,SC-39,SC-39,SC-39,,,,,,,,NFO - SC-39,,,,,,,,"A01:2021 A05:2021",,,,,,,,,,,,D.16.5,,,,,,,TM:SG2.SP2,,,,,,,,,SC-39,,,,,,,,SC-39 ,SC-39 ,SC-39 ,SC-39 ,SC-39 ,SC-39,SC-39,SC-39,SC-39,SC-39,,,,,,,,,,SC-39,,,,,,,,,,SC-39 ,SC-39 ,SC-39 ,,,,,,,,,,,,,,,,,,SC-39,SC-39,SC-39,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 5.6,Principle 5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Security Function Isolation,SEA-04.1,Mechanisms exist to isolate security functions from non-security functions. ,,,Does the organization isolate security functions from non-security functions? ,7,Protect,,,X,There is no evidence of a capability to isolate security functions from non-security functions. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to isolate security functions from non-security functions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to isolate security functions from non-security functions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1003.001, T1021.003, T1047, T1068, T1134.005, T1189, T1190, T1203, T1210, T1211, T1212, T1559, T1559.001, T1559.002, T1602, T1602.001, T1602.002, T1611",,,,,,,,SC-3,,,SC-3,SC-3,,,,SC-3,,,,,SC-3,,,,,,,,,,,,3.14.3e,,,,"A01:2021 A05:2021","1.2 1.3.1 2.2.1 11.3.4 11.3.4.1","2.2.3 10.7.1 11.4.5 11.4.6",,"2.2.3 11.4.5",,11.4.5,"2.2.3 11.4.5",,"2.2.3 11.4.5","2.2.3 10.7.1 11.4.5 11.4.6",,D.16.5,,,,,,,,,,,,TBD - 3.14.3e,,,SI.L3-3.14.3e,,,,,,,,,SC-3,,,SC-3,,SC-3,,,SC-3,,,,,,,,,,,,,,8-105,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Hardware Separation,SEA-04.2,Mechanisms exist to implement underlying hardware separation mechanisms to facilitate process separation. ,,,Does the organization implement underlying hardware separation mechanisms to facilitate process separation? ,7,Protect,,,X,There is no evidence of a capability to implement underlying hardware separation mechanisms to facilitate process separation. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement underlying hardware separation mechanisms to facilitate process separation. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement underlying hardware separation mechanisms to facilitate process separation. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-39(1),,,,SC-39(1),,,,,SC-39(1),,,,,,,,,,,,,,,,,,,,"A01:2021 A05:2021",,,,,,,,,,,,D.16.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Thread Separation,SEA-04.3,Mechanisms exist to maintain a separate execution domain for each thread in multi-threaded processing. ,,,Does the organization maintain a separate execution domain for each thread in multi-threaded processing? ,7,Protect,,,X,There is no evidence of a capability to maintain a separate execution domain for each thread in multi-threaded processing. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain a separate execution domain for each thread in multi-threaded processing. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a separate execution domain for each thread in multi-threaded processing. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-39(2),,,,SC-39(2),,,,,SC-39(2),,,,,,,,,,,,,,,,,,,,"A01:2021 A05:2021",,,,,,,,,,,,D.16.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Information In Shared Resources ,SEA-05,Mechanisms exist to prevent unauthorized and unintended information transfer via shared system resources. ,,,Does the organization prevent unauthorized and unintended information transfer via shared system resources? ,8,Protect,,X,X,There is no evidence of a capability to prevent unauthorized and unintended information transfer via shared system resources. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent unauthorized and unintended information transfer via shared system resources. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent unauthorized and unintended information transfer via shared system resources. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1020.001, T1040, T1070, T1070.001, T1070.002, T1080, T1119, T1530, T1552, T1552.001, T1552.002, T1552.004, T1557, T1557.002, T1558, T1558.002, T1558.003, T1558.004, T1564.009, T1565, T1565.001, T1565.002, T1565.003, T1602, T1602.001, T1602.002",,,,,,,,SC-4,,SC-4,SC-4,SC-4,,,SC-4,SC-4,,,,SC-4,SC-4,,SC-4,,,,SC-4,SC-4,3.13.4,3.13.4,3.13.4,"A.03.13.04[01] A.03.13.04[02]",,,,,"A01:2021 A05:2021",,,,,,,,,,,,D.16,,,,,,,,,,,SC.L2-3.13.4,SC.L2-3.13.4,,SC.L2-3.13.4,SC.L2-3.13.4,SC-4,,,,,,,,SC-4 ,,SC-4 ,SC-4 ,,SC-4,,SC-4,SC-4,,,,,,,,,,,SC-4,,,8-609,,,,,,,,,SC-4 ,,,,,,,,,,,,,,,,,,,,SC-4,,,,,,,,,,,,,,,,,,,"OPS-24 COS-06",,,,"10.5 10.8",,,,,,,,,,,,,,,4-2-3-1,,,,,,,,,,,,,,,,,Principle 5.6,Principle 5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Prevent Program Execution,SEA-06,Automated mechanisms exist to prevent the execution of unauthorized software programs. ,,,Does the organization use automated mechanisms to prevent the execution of unauthorized software programs? ,8,Protect,,,X,There is no evidence of a capability to prevent the execution of unauthorized software programs. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent the execution of unauthorized software programs. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent the execution of unauthorized software programs. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-7(2),,CM-7(2),CM-7(2),CM-7(2),,,CM-7(2),CM-7(2),,,,CM-7(2),CM-7(2),,,,,,,,,,,,,,,,"A01:2021 A05:2021",,,,,,,,,,,,I.2.5.11,,,,,,,,,,,,,,,,CM-7(2),,,,,,,,CM-7(2),,CM-7(2),CM-7(2),,CM-7(2),,CM-7(2),CM-7(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CM-7(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Secure Engineering & Architecture ,Predictable Failure Analysis ,SEA-07,Mechanisms exist to determine the Mean Time to Failure (MTTF) for system components in specific environments of operation.,- Mean Time to Failure (MTTF),,Does the organization determine the Mean Time to Failure (MTTF) for system components in specific environments of operation?,5,Protect,,X,X,There is no evidence of a capability to determine the Mean Time to Failure (MTTF) for system components in specific environments of operation.,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine the Mean Time to Failure (MTTF) for system components in specific environments of operation.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-13,,,,SI-13,,,,,SI-13,,,,SI-13,,,,,,,,NFO - SA-3,"3.16.2.a 3.16.2.b",,,,,PR.PT-5,,,,,,,,,,,,,,K.6.2,,,,,,,TM:SG5.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,622(2)(d)(C)(iii),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,OR 6464A,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Technology Lifecycle Management,SEA-07.1,Mechanisms exist to manage the usable lifecycles of technology assets. ,"- Computer Lifecycle Program (CLP) - Technology Asset Management (TAM)",E-AST-09,Does the organization manage the usable lifecycles of technology assets? ,7,Protect,X,X,X,There is no evidence of a capability to manage the usable lifecycles of technology assets. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of technology assets and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage the usable lifecycles of technology assets. ",,,,,,,,"BAI09.03 BAI09.04",,,"CCM-01 CCM-05 POL-04 SET-05",,,,,,,,,,,,,,,,"T1078, T1078.001, T1078.003, T1078.004, T1213.003, T1574.002",,,,,,,,SA-3,SA-3,SA-3,SA-3,"SA-3 SA-3(1) SA-3(3) SA-8(30)",SA-3,SA-3,SA-3,SA-3,"SA-3(1) SA-3(3) SA-8(30)",,SA-3,SA-3,SA-3,,SA-3,SA-3,,SA-3,SA-3,SA-3,NFO - SA-3,"3.16.2.a 3.16.2.b",,,,,,ID.AM-08,,,12.3.4,,,,,,,12.3.4,12.3.4,,D.1,,3.1.3,,,,,"EXD:SG3.SP3 EXD:SG3.SP4 EXD:SG4.SP1 EXD:SG4.SP2 RTSE:SG2.SP2",,,,,,,,,SA-3,,,,,,,,SA-3,SA-3,SA-3,SA-3,SA-3,SA-3,SA-3,SA-3,SA-3,SA-3,,,,,,,,,,SA-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-3,SA-3,SA-3,,,,3.5(55),,,,,,,,,,,,,,8.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 2.7 Principle 6.7","Principle 2.9 Principle 6.7","Principle 2.9 Principle 6.8",,,,,,,,,,,,,,,,,,,,,,"7.3.1 7.3.2 7.3.3",,,,,,,,,"1.3.1 2.2.5",,,,,,,,,,,,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-8 R-IR-4",,,,,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,,R-GV-3,R-GV-4,R-GV-5,R-GV-6,,R-GV-8,,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Secure Engineering & Architecture ,Fail Secure,SEA-07.2,"Mechanisms exist to enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure. ",,,"Does the organization enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure? ",8,Protect,,X,X,"There is no evidence of a capability to enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure. ","Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Administrative processes exist and technologies are configured to enable systems to fail to an organization-defined known-state for types of failures, preserving system state information in failure. ","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Secure Engineering & Architecture (SEA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,SAP-09,,,NDR 5.2 (15.12.3(3)),,,,,,,,,,,,,,,,,,,,,"CP-12 SC-24",,,SC-24,"CP-12 SA-8(24) SC-24",,,,SC-24,"CP-12 SA-8(24)",,CP-12,"CP-12 SC-24","CP-12 SC-24",,,,,,,,,,,,,,PR.PT-5,,"A01:2021 A05:2021",,,,,,,,,,,,I.2.5.12,,,,,,,"EC:SG2.SP2 KIM:SG2.SP2 TM:SG2.SP2",,,,,,,,,,,,,,,,,SC-24,,,SC-24,,SC-24,,,SC-24,,,,,,,,,,,,,,"8-615 8-702",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for CP-12 & SC-24 Secure Engineering & Architecture ,Fail Safe,SEA-07.3,Mechanisms exist to implement fail-safe procedures when failure conditions occur. ,,,Does the organization implement fail-safe procedures when failure conditions occur? ,8,Protect,,X,X,There is no evidence of a capability to implement fail-safe procedures when failure conditions occur. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Administrative processes exist and technologies are configured to implement fail-safe procedures when failure conditions occur. ","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Administrative processes exist and technologies are configured to implement fail-safe procedures when failure conditions occur. ","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Secure Engineering & Architecture (SEA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,SAP-09,,,CR 3.6 (7.8.1),,,,,,,,,,,,,,,,,,,,,SI-17,,,,SI-17,,,,,SI-17,,SI-17,SI-17,SI-17,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.2.17,,,,,,,RTSE:SG1.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for SI-17 Secure Engineering & Architecture ,Non-Persistence ,SEA-08,Mechanisms exist to implement non-persistent system components and services that are initiated in a known state and terminated upon the end of the session of use or periodically at an organization-defined frequency. ,,,Does the organization implement non-persistent system components and services that are initiated in a known state and terminated upon the end of the session of use or periodically at an organization-defined frequency? ,9,Protect,,,X,There is no evidence of a capability to implement non-persistent system components and services that are initiated in a known state and terminated up on the end of the session of use or periodically at an organization-defined frequency. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement non-persistent system components and services that are initiated in a known state and terminated up on the end of the session of use or periodically at an organization-defined frequency. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement non-persistent system components and services that are initiated in a known state and terminated up on the end of the session of use or periodically at an organization-defined frequency. ",,,,,,,,,,,,,,"CR 4.2 (8.4.1) CR 4.2 (8.4.3(1)) CR 4.2 (8.4.3(2))",,,,,,,,,,,,,"T1505, T1505.001, T1505.002, T1505.004, T1546.003, T1547.004, T1547.006",,,,,,,,SI-14,,,,SI-14,,,,,SI-14,,,,,,,,,,,,,,,,"3.13.2e 3.14.4e",,,,"A01:2021 A05:2021",,,,,,,,,,,,D.1.1.1,,,,,,,,,,,,"TBD - 3.13.2e TBD - 3.14.4e",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Refresh from Trusted Sources,SEA-08.1,Mechanisms exist to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization ensure that software and data needed for information system component and service refreshes are obtained from trusted sources?,5,Protect,,X,X,There is no evidence of a capability to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.,"SP-CMM1 is N/A, since a structured process is required to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that software and data needed for information system component and service refreshes are obtained from trusted sources.",,,,,,,,,,,,,,CR 3.12 (7.14),,,,,,,,,,,,,,,,,,,,,SI-14(1),,,,"SA-3(3) SI-14(1)",,,,,"SA-3(3) SI-14(1)",,,,,,,,,,,,,,,,"3.4.1e 3.14.4e",,,,,,,,,,,,,,,,T.2,,,,,,,,,,,,"TBD - 3.4.1e TBD - 3.14.4e",,,CM.L3-3.4.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-6-3-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Information Output Filtering ,SEA-09,Mechanisms exist to validate information output from software programs and/or applications to ensure that the information is consistent with the expected content. ,,,Does the organization validate information output from software programs and/or applications to ensure that the information is consistent with the expected content? ,8,Protect,,,X,There is no evidence of a capability to validate information output from software programs and/ or applications to ensure that the information is consistent with the expected content. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to validate information output from software programs and/ or applications to ensure that the information is consistent with the expected content. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to validate information output from software programs and/ or applications to ensure that the information is consistent with the expected content. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1021.002, T1021.005, T1048, T1048.001, T1048.002, T1048.003, T1071.004, T1090, T1090.003, T1095, T1187, T1197, T1205, T1205.001, T1218.012, T1219, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1530, T1537, T1552, T1552.005, T1557, T1557.001, T1557.002, T1564.009, T1570, T1572, T1599, T1599.001, T1602, T1602.001, T1602.002",,,,,,,,SI-15,,,,SI-15,,,,,SI-15,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.3,,,,,,,KIM:SG5.SP3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Limit Personal Data (PD) Dissemination,SEA-09.1,Mechanisms exist to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.,- Data Protection Impact Assessment (DPIA),,Does the organization limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes?,8,Protect,,X,X,There is no evidence of a capability to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data. • Administrative processes limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Administrative processes limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit the dissemination of Personal Data (PD) to organization-defined elements identified in the Data Protection Impact Assessment (DPIA) and consistent with authorized purposes.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,CT.DP-P4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-4 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,,,R-AC-4,,,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Memory Protection ,SEA-10,Mechanisms exist to implement security safeguards to protect system memory from unauthorized code execution. ,"- Puppet (https://puppet.com/) - Chef (https://www.chef.io/) (https://www.chef.io/)",,Does the organization implement security safeguards to protect system memory from unauthorized code execution? ,8,Protect,,,X,There is no evidence of a capability to implement security safeguards to protect system memory from unauthorized code execution. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement security safeguards to protect system memory from unauthorized code execution. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement security safeguards to protect system memory from unauthorized code execution. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1003.001, T1047, T1055.009, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1505.004, T1543, T1543.002, T1547.004, T1547.006, T1548, T1548.004, T1565, T1565.001, T1565.003, T1611",,,,,,,,SI-16,,SI-16,SI-16,SI-16,,,SI-16,SI-16,,,,SI-16,SI-16,,,,,,,,NFO - SI-16,,,,,,,,,,,,,,,,,,,,P.7.5,,,,,,,KIM:SG2.SP2,,,,,,,,,SI-16,,,,,,,,SI-16 ,SI-16 ,SI-16 ,SI-16 ,SI-16 ,SI-16,,SI-16,SI-16,,,,,,,,,,,SI-16,,,,,,,,,,SI-16 ,SI-16 ,SI-16 ,,,,,,,,,,,,,,,,,,,SI-16,SI-16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Honeypots ,SEA-11,"Mechanisms exist to utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks. ",,,"Does the organization utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks? ",3,Protect,,X,X,"There is no evidence of a capability to utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks. ","SP-CMM1 is N/A, since a structured process is required to utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks. ","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize honeypots that are specifically designed to be the target of malicious attacks for the purpose of detecting, deflecting and analyzing such attacks. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1068, T1210, T1211, T1212",,,,,,,,SC-26,,,,"IR-4(13) SC-26",,,,,"IR-4(13) SC-26",,,,,,,,,,,,,,,,3.13.3e,,,,,,,,,,,,,,,,P.7,,,,,,,,,,,,TBD - 3.13.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.L.F,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,23.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Honeyclients ,SEA-12,Mechanisms exist to utilize honeyclients that proactively seek to identify malicious websites and/or web-based malicious code. ,,,Does the organization utilize honeyclients that proactively seek to identify malicious websites and/or web-based malicious code? ,3,Protect,,X,X,There is no evidence of a capability to utilize honeyclients that proactively seek to identify malicious websites and/ or web-based malicious code. ,"SP-CMM1 is N/A, since a structured process is required to utilize honeyclients that proactively seek to identify malicious websites and/ or web-based malicious code. ","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize honeyclients that proactively seek to identify malicious websites and/ or web-based malicious code. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1068, T1210, T1211, T1212",,,,,,,,SC-35,,,,"IR-4(13) SC-35",,,,,"IR-4(13) SC-35",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.7.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.L.F,SC-35,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,23.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Heterogeneity ,SEA-13,Mechanisms exist to utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM). ,,,Does the organization utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM)? ,3,Protect,,X,X,There is no evidence of a capability to utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM). ,"SP-CMM1 is N/A, since a structured process is required to utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM). ","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a diverse set of technologies for system components to reduce the impact of technical vulnerabilities from the same Original Equipment Manufacturer (OEM). ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1068, T1189, T1190, T1203, T1210, T1211, T1212",,,,,,,,SC-29,,,,SC-29,,,,,SC-29,,,,,,SC-29,,,,SC-29,SC-29,,,,,3.13.1e,,,,,,,,,,,,,,,,T.8,,,,,,,,,,,,TBD - 3.13.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Virtualization Techniques ,SEA-13.1,Mechanisms exist to utilize virtualization techniques to support the employment of a diversity of operating systems and applications.,,,Does the organization utilize virtualization techniques to support the employment of a diversity of operating systems and applications?,6,Protect,,X,X,There is no evidence of a capability to utilize virtualization techniques to support the employment of a diversity of operating systems and applications.,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize virtualization techniques to support the employment of a diversity of operating systems and applications.",,,,,,,,,,"IVS-01 IVS-04",,,,,,,,,,,,,,,,,,,,,,,,,SC-29(1),,,,SC-29(1),,,,,SC-29(1),,,,,,,,,,,,,,,,3.13.1e,,,,,,,,,,,,,,,,D.16.4,,,,,,,,,"5.10.3 5.10.3.2",,,TBD - 3.13.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.L.F,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1460 1604 1605 1606 1607 1461",,,,,,,,,,,,,,"22.2.12.C.01 22.2.12.C.02 22.2.12.C.03 22.2.12.C.04 22.2.13.C.01 22.2.13.C.02 22.2.14.C.01 22.2.14.C.02 22.2.14.C.03 22.2.14.C.04 22.2.14.C.05 22.2.14.C.06 22.2.14.C.07 22.2.15.C.01 22.2.15.C.02 22.2.15.C.03 22.2.15.C.04 22.2.15.C.05 22.2.15.C.06 22.2.15.C.07 22.2.16.C.01 22.2.16.C.02 22.2.16.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Concealment & Misdirection ,SEA-14,Mechanisms exist to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries. ,,,Does the organization utilize concealment and misdirection techniques for systems to confuse and mislead adversaries? ,2,Protect,,X,X,There is no evidence of a capability to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize concealment and misdirection techniques for systems to confuse and mislead adversaries. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1068, T1189, T1190, T1203, T1210, T1211, T1212",,,,,,,,SC-30,,,,"SC-30 SC-30(4) SC-30(5)",,,,,SC-30,,,,,,"SC-30 SC-30(4) SC-30(5)",,,,"SC-30 SC-30(4) SC-30(5)","SC-30 SC-30(4) SC-30(5)",,,,,3.13.3e,,,,,,,,,,,,,,,,O.47,,,,,,,,,,,,TBD - 3.13.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-4",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Randomness,SEA-14.1,Automated mechanisms exist to introduce randomness into organizational operations and assets.,,,Does the organization use automated mechanisms to introduce randomness into organizational operations and assets?,5,Protect,,X,X,There is no evidence of a capability to introduce randomness into organizational operations and assets.,"SP-CMM1 is N/A, since a structured process is required to introduce randomness into organizational operations and assets.","SP-CMM2 is N/A, since a well-defined process is required to introduce randomness into organizational operations and assets.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to introduce randomness into organizational operations and assets.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to introduce randomness into organizational operations and assets.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-30(2),,,,SC-30(2),,,,,SC-30(2),,,,,,SC-30(2),,,,SC-30(2),SC-30(2),,,,,"3.13.2e 3.13.3e",,,,,,,,,,,,,,,,I.2.11.9,,,,,,,,,,,,"TBD - 3.13.2e TBD - 3.13.3e",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-4",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,,,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Secure Engineering & Architecture ,Change Processing & Storage Locations,SEA-14.2,Automated mechanisms exist to change the location of processing and/or storage at random time intervals.,,,Does the organization use automated mechanisms to change the location of processing and/or storage at random time intervals?,5,Protect,,X,X,There is no evidence of a capability to change the location of processing and/ or storage at random time intervals.,"SP-CMM1 is N/A, since a structured process is required to change the location of processing and/ or storage at random time intervals.","SP-CMM2 is N/A, since a well-defined process is required to change the location of processing and/ or storage at random time intervals.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to change the location of processing and/ or storage at random time intervals.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to change the location of processing and/ or storage at random time intervals.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SC-30(3),,,,SC-30(3),,,,,SC-30(3),,,,,,SC-30(3),,,,SC-30(3),SC-30(3),,,,,3.13.5e,,,,,,,,,,,,,,,,D.3,,,,,,,,,,,,TBD - 3.13.5e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-4",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,,,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Secure Engineering & Architecture ,Distributed Processing & Storage ,SEA-15,Mechanisms exist to distribute processing and storage across multiple physical locations. ,,,Does the organization distribute processing and storage across multiple physical locations? ,4,Protect,,X,X,There is no evidence of a capability to distribute processing and storage across multiple physical locations. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to distribute processing and storage across multiple physical locations. ",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1070, T1070.001, T1070.002, T1119, T1565, T1565.001",,,,,,,,SC-36,,,,"PE-23 SC-36",,,,,"PE-23 SC-36",,,,,,SC-36,,SC-36,,SC-36,SC-36,,,,,3.13.5e,,,,,,,,,,,,,,,,K.21,,,,,,,EC:SG3.SP2,,,,,TBD - 3.13.5e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 6.1 Art 26.1 Art 26.2 Art 26.3 Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10 Art 29 Art 44 Art 45.1 Art 45.2 Art 46.1 Art 46.2 Art 46.3 Art 47.1 Art 47.2 Art 48 Art 49.1 Art 49.2 Art 49.6",,,,Sec 10,Chapter 4 - Art 16,"Art 14 Art 16 Art 27",Art 41 ,,Art 34,,,,,Sec 7,Sec 2,,"Sec 16 Sec 17",Sec 31,,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15",,Art 7,,,,,,,,"Sec 19 Sec 21",,,Sec 31,,,,,,,,,,,,,,,,,,,,,,,Art 1,Article 20,,Sec 9,,,,Sec 25,"Sec 24 Sec 26",,,"Art 17 Art 27",,"Art 9 Art 26",,,,,,,Sec 20,Art 7,Art 26,,,,,,,,x,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Non-Modifiable Executable Programs ,SEA-16,"Mechanisms exist to utilize non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media.",,,"Does the organization utilize non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media?",1,Protect,,,X,"There is no evidence of a capability to utilize non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media.","Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize non-modifiable executable programs that load and execute the operating environment and applications from hardware-enforced, read-only media.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1047, T1195.003, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1548, T1548.004, T1553, T1553.006, T1601, T1601.001, T1601.002, T1611",,,,,,,,SC-34,,,,SC-34,,,,,SC-34,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,N.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8-302 8-304 8-311",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-4",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,,,,,,,,,,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Secure Log-On Procedures ,SEA-17,Mechanisms exist to utilize a trusted communications path between the user and the security functions of the system.,- Active Directory (AD) Ctrl+Alt+Del login process,,Does the organization utilize a trusted communications path between the user and the security functions of the system?,8,Protect,,X,X,There is no evidence of a capability to utilize a trusted communications path between the user and the security functions of the system.,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a trusted communications path between the user and the security functions of the system.",,,,,,,,,,,,,,,,,,,9.4.2,8.5,9.4.2,,6.6.4.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.2.6 [OP.ACC.6],,,,,,,,,,,,,,,,,,,,,,,,,,"9.4.2 9.4.2.2.B",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,System Use Notification (Logon Banner),SEA-18,Mechanisms exist to utilize system use notification / logon banners that display an approved system use notification message or banner before granting access to the system that provides cybersecurity & data privacy notices.,"- Logon banner - System use notifications - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization utilize system use notification / logon banners that display an approved system use notification message or banner before granting access to the system that provides cybersecurity & data privacy notices?,9,Protect,,X,X,There is no evidence of a capability to utilize system use notification / log on banners that display an approved system use notification message or banner before granting access to the system that provides data privacy and security notices.,"SP-CMM1 is N/A, since a structured process is required to utilize system use notification / log on banners that display an approved system use notification message or banner before granting access to the system that provides data privacy and security notices.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize system use notification / log on banners that display an approved system use notification message or banner before granting access to the system that provides data privacy and security notices.",,,,,,,,,,,,,,CR 1.12 (5.14.1),,,,,,,,,,,,,T1199,,,,,,,,AC-8,AC-8,AC-8,AC-8,AC-8,,AC-8,AC-8,AC-8,,,AC-8,AC-8,AC-8,,,,,,,,3.1.9,3.1.9,"3.1.9[a] 3.1.9[b]",A.03.01.09,,,,,,,,,,,,,,,,,H.6.7,,,,,,,TM:SG4.SP1,,5.5.4,,AC.L2-3.1.9,AC.L2-3.1.9,,AC.L2-3.1.9,AC.L2-3.1.9,AC-8,,,,,,,,AC-8 ,AC-8 ,AC-8 ,AC-8 ,AC-8 ,AC-8,AC-8,AC-8,AC-8,AC-8,,,,,,,,,,AC-8,,,8-609,"18.6 19.6",,,,,5.10,AC-8 ,AC-8 ,AC-8 ,,,,,,,,,,,,,,,,,,AC-8,AC-8,AC-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0408 0979",,,,,,,,,,,,,,"16.1.48.C.01 16.1.48.C.02 16.1.48.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Standardized Microsoft Windows Banner,SEA-18.1,Mechanisms exist to configure Microsoft Windows-based systems to display an approved logon banner before granting access to the system that provides cybersecurity & data privacy notices.,"- Active Directory (AD) Ctrl+Alt+Del login process - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization configure Microsoft Windows-based systems to display an approved logon banner before granting access to the system that provides cybersecurity & data privacy notices?,9,Protect,,X,X,There is no evidence of a capability to configure Microsoft Windows-based systems to display an approved log on banner before granting access to the system that provides data privacy and security notices.,"SP-CMM1 is N/A, since a structured process is required to configure Microsoft Windows-based systems to display an approved log on banner before granting access to the system that provides data privacy and security notices.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure Microsoft Windows-based systems to display an approved log on banner before granting access to the system that provides data privacy and security notices.",,,,,,,,,,,,,,CR 1.12 (5.14.1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.9,3.1.9,"3.1.9[a] 3.1.9[b]",A.03.01.09,,,,,,,,,,,,,,,,,H.6.13,,,,,,,,,5.5.4,,AC.L2-3.1.9,,,AC.L2-3.1.9,AC.L2-3.1.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0408 0979",,,,,,,,,,,,,,"16.1.48.C.01 16.1.48.C.02 16.1.48.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Truncated Banner,SEA-18.2,"Mechanisms exist to utilize a truncated system use notification / logon banner on systems not capable of displaying a logon banner from a centralized source, such as Active Directory.","- Logon banner - System use notifications - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization utilize a truncated system use notification / logon banner on systems not capable of displaying a logon banner from a centralized source, such as Active Directory?",9,Protect,,X,X,"There is no evidence of a capability to utilize a truncated system use notification / log on banner on systems not capable of displaying a log on banner from a centralized source, such as Active Directory.","SP-CMM1 is N/A, since a structured process is required to utilize a truncated system use notification / log on banner on systems not capable of displaying a log on banner from a centralized source, such as Active Directory.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a truncated system use notification / log on banner on systems not capable of displaying a log on banner from a centralized source, such as Active Directory.",,,,,,,,,,,,,,CR 1.12 (5.14.1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.9,3.1.9,"3.1.9[a] 3.1.9[b]",A.03.01.09,,,,,,,,,,,,,,,,,H.6.12,,,,,,,,,5.5.4,,AC.L2-3.1.9,,,AC.L2-3.1.9,AC.L2-3.1.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"0408 0979",,,,,,,,,,,,,,"16.1.48.C.01 16.1.48.C.02 16.1.48.C.03",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-2",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Previous Logon Notification,SEA-19,"Mechanisms exist to configure systems that process, store or transmit sensitive/regulated data to notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon.",- Network Time Protocol (NTP),,"Does the organization configure systems that process, store or transmit sensitive/regulated data to notify the user, upon successful logon, of the number of unsuccessful logon attempts since the last successful logon?",3,Protect,,,X,"There is no evidence of a capability to configure systems that process, store or transmit sensitive/regulated data to notify the user, up on successful logon, of the number of unsuccessful log on attempts since the last successful logon.","Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to configure systems that process, store or transmit sensitive/regulated data to notify the user, up on successful logon, of the number of unsuccessful log on attempts since the last successful logon.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AC-9,,,,AC-9,,,,,AC-9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,H.13,,,,,,,TM:SG4.SP1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8-609,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"16.1.49.C.01 16.1.50.C.01 16.1.50.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-IR-1 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,,,,,,,,,,,,R-IR-1,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Secure Engineering & Architecture ,Clock Synchronization,SEA-20,Mechanisms exist to utilize time-synchronization technology to synchronize all critical system clocks. ,- Network Time Protocol (NTP),,Does the organization utilize time-synchronization technology to synchronize all critical system clocks? ,9,Protect,,,X,There is no evidence of a capability to utilize time-synchronization technology to synchronize all critical system clocks. ,"Secure Engineering & Architecture (SEA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to design, build and maintain secure solutions. • IT /cyber engineering governance is decentralized, with the responsibility for implementing and testing cybersecurity & data privacy controls being assigned to the business process owner(s), including the definition and enforcement of roles and responsibilities.","Secure Engineering & Architecture (SEA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Architecture/engineering management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • A Change Advisory Board (CAB), or similar function, exists to govern changes to systems, applications and services, ensuring their stability, reliability and predictability. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for architecture/engineering management. • IT personnel implement secure engineering practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Secure Engineering & Architecture (SEA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT/cybersecurity architects, or a similar function, enable the implementation a “layered defense” network architecture that enables a resilient defense-in-depth approach through the use of industry-recognized cybersecurity & data privacy practices in the specification, design, development, implementation and modification of systems and services (e.g., DISA STIGs, CIS Benchmarks or OEM security guides). • IT/cybersecurity engineers, or a similar function, operationalize enterprise architecture, aligned with industry-recognized leading practices, with consideration for cybersecurity & data privacy principles, including resiliency expectations, that addresses risk to organizational operations, assets, individuals, other organizations. • A Validated Architecture Design Review (VADR), or similar process, is used to evaluate design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A Change Advisory Board (CAB), or similar function, governs changes to systems, applications and services to ensure their stability, reliability and predictability. • A formal Change Management (CM) program helps to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for “least privileges” practices, allowing for the management of user, group and system accounts, including privileged accounts. • An IT Asset Management (ITAM) function, or similar function, categorizes assets according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data.","Secure Engineering & Architecture (SEA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize time-synchronization technology to synchronize all critical system clocks. ",,,,,,,,,,,,,,,,,,,12.4.4 ,8.17,12.4.4 ,,6.9.4.4,,,,,,,,,,,,AU-8,AU-8,AU-8,AU-8,AU-8,,AU-8,AU-8,AU-8,,,AU-8,AU-8,AU-8,,,,,,,,3.3.7,,,,,,,,,"10.4 10.4.1 10.4.2 10.4.3","10.6 10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3",,,"10.6.1 10.6.2 10.6.3",,"10.6.1 10.6.2 10.6.3","10.6.1 10.6.2 10.6.3",,G.6,,,,,,,TM:SG2.SP2,,,,AU.L2-3.3.7,,,AU.L2-3.3.7,AU.L2-3.3.7,,,,,,,,,AU-8,AU-8,AU-8,AU-8,AU-8,AU-8,AU-8,AU-8,AU-8,AU-8,,,,,,,,,,AU-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AU-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"12.4.4 12.4.4.4.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Operations,Operations Security ,OPS-01,Mechanisms exist to facilitate the implementation of operational security controls.,"- Standardized Operating Procedures (SOP) - ITIL v4 - COBIT 2019",,Does the organization facilitate the implementation of operational security controls?,8,Protect,,X,X,There is no evidence of a capability to facilitate the implementation of operational security controls.,"Security Operations (OPS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity operations are decentralized. • The responsibility for developing and operating cybersecurity & data privacy procedures are up to the business process owner(s) to determine, including the definition and enforcement of roles and responsibilities.","Security operations (OPS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Security operations management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.","Security Operations (OPS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for cybersecurity operations practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for cybersecurity operations. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to cybersecurity operations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including cybersecurity operations. • A Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.","Security Operations (OPS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of operational security controls.",CC2.2,,"8 8.1",,,,,,Principle 14,IVS-08,IAM-16,SO13,,,,"8.1 8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4",8.1,8.1,12.1.1,5.37,"7.2.2 12.1.1 CLD.12.1.5",,"6.9 6.9.1 6.9.1.1",,,,"T1005, T1025",TS-1.5,,"GOVERN 1.0 GOVERN 1.2 GOVERN 1.3 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5",,,,,SC-38,,,,"SC-38 SR-7",,,,,"SC-38 SR-7",,,,,3.4.12,"SC-38 SR-7",,,,"SC-38 SR-7","SC-38 SR-7",,"3.15.1.a 3.15.1.b",,,,,,,,,"1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1",3.1.1,"1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8",3.1.1,"3.1.1 8.1.1 9.1.1","2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1","2.1.1 3.1.1 8.1.1 9.1.1","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1","3.1.1 9.1.1",G.2,,5.2,,,,,"ADM:SG1.SP1 EC:SG3.SP2 KIM:SG1.SP1 OPD:SG1.SP4 OPF:SG3.SP1 RISK:SG4.SP1 VAR:SG2.SP3",,,,,,,,,,,"252.204-7008 252.204-7012",,,,,"§ 11.10 § 11.10(f)",,,,,,,,,,,,,,,314.4(c)(7),,,8.M.A,"8.M.A 8.L.A",,,"CIP-003-6 R4",,,,,,,,,,,"III.B.2 III.B.2.a III.B.2.b",,,,,,,,,,,,,,,,,,,,,,,,"Art 9.1 Art 9.2",,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,,SP-01,,,,,,,,,,,,,,,,,,,,,,,Sec 19,,,,,,,"B4.c C1.e",,,,,,,,,,,,,,,,"Article 51 Article 51(1) Article 51(2) Article 51(3) Article 51(4) Article 51(5) Article 51(6)",,,,,"4.5.4 4.5.4.1 4.5.4.2 4.5.4.3 4.5.4.4 4.5.4.5 7.2.2.19.PB 12.1.1 12.1.5.P",,9.1,,,,,,7.1.1,,,,,,,,"1.3 1.5",,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Security Operations,Standardized Operating Procedures (SOP),OPS-01.1,"Mechanisms exist to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.",- Standardized Operating Procedures (SOP),E-GOV-11,"Does the organization identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks?",9,Protect,,X,,"There is no evidence of a capability to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.","Security Operations (OPS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity operations are decentralized. • The responsibility for developing and operating cybersecurity & data privacy procedures are up to the business process owner(s) to determine, including the definition and enforcement of roles and responsibilities.","Security operations (OPS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Security operations management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.","Security Operations (OPS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.","Security Operations (OPS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and document Standardized Operating Procedures (SOP), or similar documentation, to enable the proper execution of day-to-day / assigned tasks.","CC2.2 CC5.1 CC5.3",CC5.3-POF3,4.2,,,,,"APO01.09 DSS01.01","Principle 10 Principle 12 Principle 14",,,,,,,"8.1 8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4 8.4.5",7.5,8.1,12.1.1,5.37,"7.2.2 12.1.1 CLD.12.1.5",,"6.9 6.9.1 6.9.1.1",,,,,"OR-1.0 OR-3.0 OP-2.0 PS-2.0 TS-1.5 TS-2.4 TS-2.6 TS-2.8 TS-2.11 TS-3.0",,"GOVERN 1.0 GOVERN 1.2 GOVERN 1.3 GOVERN 1.4 GOVERN 2.2 GOVERN 3.2 GOVERN 4.1 GOVERN 5.1 GOVERN 6.0 GOVERN 6.1 MAP 3.5","GV.MT-P3 GV.MT-P4 GV.MT-P5 GV.MT-P6 GV.MT-P7 CT.PO-P1 CT.PO-P2 CT.PO-P3 CM.PO-P1 CM.AW-P1",,,,,,,,SA-8(32),,,,,SA-8(32),,,,,3.4.12,,,,,,,,"3.15.1.a 3.15.1.b",,"A.03.15.01.a[03] A.03.15.01.a[04]",,,,"GV.PO-01 GV.PO-02",,,"1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1",3.1.1,"1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 8.1.1 8.3.8",3.1.1,"3.1.1 8.1.1 9.1.1","2.1.1 3.1.1 5.1.1 8.1.1 8.3.8 9.1.1 10.1.1","2.1.1 3.1.1 8.1.1 9.1.1","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1","1.1.1 2.1.1 3.1.1 4.1.1 5.1.1 6.1.1 7.1.1 8.1.1 8.3.8 9.1.1 10.1.1 11.1.1","3.1.1 9.1.1",G.2.6,,9.4,,,,"ASSET-4.C.MIL2 ASSET-5.A.MIL2 THREAT-3.A.MIL2 RISK-5.A.MIL2 ACCESS-4.A.MIL2 SITUATION-4.A.MIL2 RESPONSE-5.A.MIL2 THIRD-PARTIES-3.A.MIL2 WORKFORCE-4.A.MIL2 ARCHITECTURE-5.A.MIL2 PROGRAM-3.A.MIL2","GG2.GP2 GG2.GP4 GG3.GP1 OPD:SG1.SP4 OPD:SG1.SP5 OPD:SG1.SP6 OPF:SG3.SP1 OPF:SG3.SP2 OPF:SG3.SP4",,"4.2.5.1 5.8 5.9",,,,,,,,,"252.204-7008 252.204-7012",,,,,"§ 11.10 § 11.10(f) § 11.10(k) § 11.10(k)(1) § 11.10(k)(2)",,,,,,,,,,,,,,,"314.4(c)(7) 314.4(c)(8) 314.4(e)",,4.S.B,8.M.A,"8.M.A 8.L.A",2.C.2,,"CIP-003-6 R4",,,,,,,5.2,,,,III.D,,,,,,,,,,,,,,,,,,,,,,,"3.4.2.(31) 3.4.2(31)(a) 3.4.2(31)(b) 3.4.2(31)(c) 3.4.2(31)(d) 3.4.2(31)(e) 3.4.2(31)(f) 3.4.2(31)(g) 3.4.5(38) 3.5(50)","Art 6.2 Art 9.2 Art 9.4(e)",,,,,,,,,,,,,,"SP-01 IDM-02",,,,"12.2 12.3 18.2 22.2",,,,,,,,,,,,,,,,,,,,,6.3 [ORG.3],,,,,B4.c,,,,Article 5(1)(f),,,,,,,,,,,,"Article 51 Article 51(1) Article 51(2) Article 51(3) Article 51(4) Article 51(5) Article 51(6)",,,,,"4.5.4 4.5.4.1 4.5.4.2 4.5.4.3 4.5.4.4 4.8 7.2.2.19.PB 12.1.1 12.1.5.P",,"1.4.2 3.3 3.3.1 3.3.2 3.3.3 4.3 4.3.1 4.3.2 5.3 5.3.1 5.3.2 6.3 6.3.1 6.3.2 6.3.3 7.2 7.2.1 7.2.2 7.2.3 8.3 8.3.1 8.3.2 8.3.3 9.3 9.3.1 9.3.2 9.3.3 10.3 10.3.1 10.3.2 10.3.3 11.3 11.3.1 11.3.2 11.3.3 12.3 12.3.1 12.3.2 12.3.3 13.3 13.3.1 13.3.2 13.3.3 14.3 14.3.1 14.3.2 14.3.3 15.3 15.3.1 15.3.2 15.3.3 16.3 16.3.1 16.3.2 16.3.3 17.3 17.3.1 17.3.2 17.3.3 18.3 18.3.1 18.3.2 18.3.3 19.3 19.3.1 19.3.2 19.3.3","3.4.12.C.01 3.4.12.C.02 5.1.11.C.01 5.1.13.C.01 5.5.3.C.01 5.5.4.C.01 5.5.5.C.01 5.5.6.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-4",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,R-IR-4,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Operations,Security Concept Of Operations (CONOPS) ,OPS-02,"Mechanisms exist to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders. ",,,"Does the organization develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders? ",9,Protect,X,X,X,"There is no evidence of a capability to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders. ","SP-CMM1 is N/A, since a structured process is required to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders. ","Security operations (OPS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Security operations management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Security Operations (OPS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop a security Concept of Operations (CONOPS), or a similarly-defined plan for achieving cybersecurity objectives, that documents management, operational and technical measures implemented to apply defense-in-depth techniques that is communicated to all appropriate stakeholders. ","CC5.1 CC7.2",,8.1,,,,,,"Principle 2 Principle 10","IVS-08 STA-06",,SO13,,,,8.1,8.1,,,,CLD.12.1.5,,"6.9 6.9.1 6.9.1.1",,,,,,,,"ID.BE-P1 ID.BE-P2 ID.BE-P3 PR.PO-P4",,,,PL-7,,,,PL-7,,,,,PL-7,,,,,3.4.12,PL-7,,,,,PL-7,,,,,,,,"GV.OC-01 GV.OC-04 GV.RM-04 ID.IM-04",,,,,,,,,,,,,D.2,,,,,,,"EF:SG2.SP1 GG2.GP1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.M.A,"8.M.A 8.L.A",,,,8-610,,,,,,,,,,"III.B.2 III.B.2.a III.B.2.b",,,,,,,,,,,500.10,,,,,,,,,,,,3.2.1(6),"Art 9.1 Art 9.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.5.4 12.1.5.P",,,5.1.15.C.01,,,,,,,,,,,,,4.30,,,,,,,,,,,,x,,,,"R-AM-3 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1 R-SA-2",,,,,,,R-AM-3,,,,,,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Operations,"Service Delivery (Business Process Support) ",OPS-03,"Mechanisms exist to define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/or customers based on industry-recognized standards to achieve the specific goals of the process area.","- ITIL v4 - COBIT 2019",E-TPM-04,"Does the organization define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/or customers based on industry-recognized standards to achieve the specific goals of the process area?",7,Protect,X,X,,"There is no evidence of a capability to define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/ or customers based on industry-recognized standards to achieve the specific goals of the process area.","Security Operations (OPS) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Cybersecurity operations are decentralized. • The responsibility for developing and operating cybersecurity & data privacy procedures are up to the business process owner(s) to determine, including the definition and enforcement of roles and responsibilities.","Security operations (OPS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Security operations management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.","Security Operations (OPS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.","Security Operations (OPS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define supporting business processes and implement appropriate governance and service management to ensure appropriate planning, delivery and support of the organization's technology capabilities supporting business functions, workforce, and/ or customers based on industry-recognized standards to achieve the specific goals of the process area.","CC2.1 PI1.1","CC2.1-POF1 CC2.1-POF2 CC2.1-POF3 CC2.1-POF4 CC2.2-POF1 CC2.3-POF2 CC2.3-POF6 CC3.1-POF7 CC3.1-POF8 CC3.1-POF9 CC3.1-POF10 CC3.1-POF11 CC3.1-POF12 CC3.1-POF13 CC3.1-POF14 CC3.1-POF15 CC3.1-POF16 CC5.3-POF3 PI1.3-POF1 PI1.3-POF2 PI1.3-POF3 PI1.3-POF4 PI1.3-POF5 PI1.4-POF1 PI1.4-POF2 PI1.4-POF3 PI1.4-POF4 PI1.5-POF1 PI1.5-POF2 PI1.5-POF3 PI1.5-POF4",,,,,,"APO01.11 APO09.03 APO09.04 APO09.05 APO11.01 APO11.02 APO11.03 APO11.04 APO11.05",Principle 13,STA-06,"IAM-16 SNT-03",,,,"RQ-05-11 RQ-06-03.a RQ-06-03.b RQ-06-03.c RQ-06-03.d RQ-06-03.e RQ-06-03.f","8.1 8.4.2.1 8.4.2.2 8.4.2.3 8.4.2.4",,8.1,,5.37,CLD.12.1.5,,,,,,,,,,ID.IM-P5,,,,"IP-4 IP-4(1)",,,,,,,,,,,,,,3.4.12,,,,,,,,,,,,,,,,,,,,,,,,,,,G.2.6,,9.4,,,,"ASSET-4.C.MIL2 ASSET-5.A.MIL2 THREAT-3.A.MIL2 RISK-5.A.MIL2 ACCESS-4.A.MIL2 SITUATION-4.A.MIL2 RESPONSE-5.A.MIL2 THIRD-PARTIES-3.A.MIL2 WORKFORCE-4.A.MIL2 ARCHITECTURE-5.A.MIL2 PROGRAM-3.A.MIL2","GG1.GP1 GG2.GP6 GG3.GP1 GG3.GP2 OPD:SG1.SP3 OPD:SG1.SP4 OPD:SG1.SP5 OPF:SG3.SP3",,"5.1.2 5.1.2.1",,,,,,,"IP-4 IP-4(1)",,,,,,,"§ 11.10 § 11.10(f)",,,,,,,,,,,,,,,,,,8.M.A,"8.M.A 8.L.A",2.C.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 9.1 Art 9.2",,,,,,,,,,,,,"8.1 8.2 11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"B4.c C1.e",,,,Article 5(1)(f),,,,,,,,,,,,Article 51,,,,,"4.5.4 4.5.4.1 4.5.4.2 4.5.4.3 4.5.4.4 12.1.5.P",,,,,,,,7.1.1,,,,,,,,"1.3 1.5",,,,,,,,,,,,x,,,,"R-AM-3 R-BC-1 R-BC-3 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1 R-SA-2",,,,,,,R-AM-3,R-BC-1,,R-BC-3,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Operations,Security Operations Center (SOC),OPS-04,Mechanisms exist to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.,,,Does the organization establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability?,8,Protect,,X,X,There is no evidence of a capability to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.,"SP-CMM1 is N/A, since a structured process is required to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.","Security operations (OPS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Security operations management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.","Security Operations (OPS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function, o Has a defined mission and expected functions. o Manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. o Configures monitoring technologies to implement the legally-allowable enhanced monitoring profiles for selected users and establish a reporting capability to designated personnel on enhanced monitoring activities. o Is capable of detecting and responding to potential incidents through a formalized intake of security-related tickets; log monitoring; and analyzing threat intelligence feeds. o Is staffed internally by qualified cybersecurity personnel, or is outsourced to a Managed Security Services Provider (MSSP). o Maintains a documented knowledge management repository to assist in SOC operations. o Ensures personnel are assigned appropriate roles and responsibilities to assist Integrated Security Incident Response Team (ISIRT) personnel in incident response operations. o Responds to cybersecurity & data privacy incidents according to documented procedures.","Security Operations (OPS) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish and maintain a Security Operations Center (SOC) that facilitates a 24x7 response capability.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1005, T1025",,,,,,,,SC-38,,,,"IR-4(14) SC-38",,,,,"IR-4(14) SC-38",,,,,,SC-38,,,,SC-38,SC-38,,,,,3.6.1e,,,,,,,,,,,,,,,,J.4,,,,,,,,,,,,TBD - 3.6.1e,,,IR.L3-3.6.1e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"B4.c C1.e",,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.2.1,,,,,,,,1.4,,,,,,,,,,,,,,,x,"R-AM-3 R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",,,,,,,R-AM-3,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Operations,Secure Practices Guidelines,OPS-05,"Mechanisms exist to provide guidelines and recommendations for the secure use of products and/or services to assist in the configuration, installation and use of the product and/or service.",,,"Does the organization provide guidelines and recommendations for the secure use of products and/or services to assist in the configuration, installation and use of the product and/or service?",7,Protect,,X,,"There is no evidence of a capability to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.","SP-CMM1 is N/A, since a structured process is required to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.","Security operations (OPS) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Security operations management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security operations. • Administrative processes focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Critical business functions are documented in “run books” or Standardized Operating Procedures (SOPs) to capture operational knowledge in documentation form.","Security Operations (OPS) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function, manages cybersecurity operations that covers preparation, detection and analysis, containment, eradication and recovery. • Procedures are standardized across the enterprise to ensure uniformity and consistent execution. These Standardized Operating Procedures (SOP) identify and document day-to-day procedures to enable the proper execution of assigned tasks. • Line of Business (LOB) stakeholders are identified and tasked with documenting business-critical functions in “run books,” or SOPs, to capture the knowledge in documentation form from both a business and technology perspective.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide guidelines and recommendations for the secure use of products and/ or services to assist in the configuration, installation and use of the product and/ or service.",,,,,,,,,,STA-03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,D.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-01,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.29 4.30",,,,,,,,,,,,,,,,"R-BC-1 R-BC-3 R-BC-4 R-BC-5 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1 R-SA-2",,,,,,,,R-BC-1,,R-BC-3,R-BC-4,R-BC-5,,,,,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Cybersecurity & Data Privacy-Minded Workforce ,SAT-01,Mechanisms exist to facilitate the implementation of security workforce development and awareness controls. ,,,Does the organization facilitate the implementation of security workforce development and awareness controls? ,8,Protect,X,X,,There is no evidence of a capability to facilitate the implementation of security workforce development and awareness controls. ,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for security awareness and training practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for security awareness and training. • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of security workforce development and awareness controls. ",CC1.4,CC2.2-POF8,6,"14.0 14.1",14.1,14.1,14.1,,Principle 4,"DCS-11 HRS-11 HRS-13","TRN-01 TRN-02",SO6,,,RQ-05-06,7.3,7.3,"7.4 7.4(a) 7.4(b) 7.4(c) 7.4(d)",7.2.2 ,6.3,7.2.2 ,,6.4.2.2,,,,,"OR-3.1 OR-3.2",Sec 4(D)(5),GOVERN 4.1,"GV.AT-P1 GV.AT-P2 GV.AT-P3 GV.AT-P4",PO.2.2,,2.7,"AT-1 PM-13",AT-1,AT-1,AT-1,"AT-1 PM-13",AT-1,AT-1,AT-1,AT-1,PM-13,,AT-1,AT-1,AT-1,,"AT-1 PM-13",AT-1,,"AT-1 PM-13","AT-1 PM-13",,NFO - AT-1,"3.2.1.a 3.2.1.a.1 3.2.1.a.2 3.2.1.a.3 3.2.1.b",,"A.03.02.01.a.01[01] A.03.02.01.a.01[02] A.03.02.01.a.02 A.03.02.01.b[01] A.03.02.01.b[02] A.03.02.01.ODP[01]",,,"PR.AT-1 PR.AT-3 PR.AT-4",PR.AT,,,"8.3.8 9.5.1 9.5.1.3 12.6 12.6.1 12.6.2 A3.1.4",,"8.3.8 12.6.1","9.5.1 9.5.1.3 12.6.1","9.5.1 9.5.1.3 12.6.1","8.3.8 9.5.1 9.5.1.3 12.6.1",12.6.1,"8.3.8 9.5.1 9.5.1.3 12.6.1 12.6.2","8.3.8 9.5.1 9.5.1.3 12.6.1 12.6.2","9.5.1 9.5.1.3 12.6.1",E.1.6,7.2,2.1.3,,,,"WORKFORCE-2.A.MIL1 WORKFORCE-2.B.MIL2 WORKFORCE-2.C.MIL2 WORKFORCE-2.D.MIL2 WORKFORCE-2.E.MIL3 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3","EF:SG2.SP2 EF:SG3.SP2 GG2.GP5 OTA:SG1.SP1 OTA:SG1.SP2 OTA:SG1.SP3 OTA:SG3.SP1 OTA:SG3.SP2 OTA:SG3.SP3",4.3,5.2,,,,,,,"AT-1 PM-13",,,,,,,"§ 11.10 § 11.10(i)",AT-1,AT-1,AT-1,AT-1,AT-1,AT-1,AT-1,AT-1,AT-1,AT-1,,"D1.TC.Tr.B.2 D1.TC.Tr.B.4 D1.TC.Tr.Int.2 D1.TC.Tr.E.2",,,314.4(e)(1),"164.308(a)(5) 164.308(a)(5)(i) 164.308(a)(5)(ii)(A) 164.308(a)(5)(ii)(B) 164.308(a)(5)(ii)(C) 164.308(a)(5)(ii)(D)","1.S.B 4.S.C",1.M.D,"1.M.D 1.L.C",AT-1,,"CIP-004-6 R1","8-101 8-103 8-307","2.1 2.3",,,,,"5.7 5.10",AT-1,AT-1,AT-1,,,,"7100(a) 7100(b)",,,,,,,,500.14,Sec 4(2)(b)(ii)(A)(4),,38-99-20(D)(5),,Sec 6,AT-1,AT-1,AT-1,,,"§ 2447(b)(2)(A) § 2447(c)(8)","3.2.1(3) 3.4.7(49)",Art 13.6,,"Art 32.1 Art 32.2 Art 32.4",Article 21.2(g),,,"Sec 14 Sec 15",Art 16,,,,,,4.9,"HR-03 DEV-04",,,,20.1,,,,,,,,,,Article 11.3,,,TPC-7,3.1.6,"1-10-1 1-10-5",1-8,,,Sec 4.1.e,,"8.2.3 [MP.PER.3] 8.2.4 [MP.PER.4]",,,,,"B6.a B6.b",B6,,,,,,,,,"0720 0735 0252",,,,,,,,,,,"4.5.2 4.5.2.7 4.5.2.8 7.2.2 7.2.2.19.PB",,,9.1.4.C.01,,,,,"3.6.1 3.6.4 6.1.5",,,,,,6.7,,"1.7 1.8 1.9",3.1.7,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Security Awareness & Training ,Cybersecurity & Data Privacy Awareness Training,SAT-02,Mechanisms exist to provide all employees and contractors appropriate awareness education and training that is relevant for their job function. ,,E-SAT-02,Does the organization provide all employees and contractors appropriate awareness education and training that is relevant for their job function? ,8,Protect,X,X,,There is no evidence of a capability to provide all employees and contractors appropriate awareness education and training that is relevant for their job function. ,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide all employees and contractors appropriate awareness education and training that is relevant for their job function. ",,CC2.2-POF8,,"14.3 14.7 14.8","14.3 14.7 14.8","14.3 14.7 14.8","14.3 14.7 14.8",,,"HRS-11 HRS-13",TRN-02,SO7,,,,7.3,7.3,"7.4 7.4(a) 7.4(b) 7.4(c) 7.4(d)",7.2.2,6.3,7.2.2,,6.4.2.2,,,,,"OR-3.1 OR-3.2",Sec 4(D)(5),,"GV.AT-P1 GV.AT-P2 GV.AT-P3",,,,AT-2,AT-2,AT-2,AT-2,AT-2,AT-2,AT-2,AT-2,AT-2,,,AT-2,AT-2,AT-2,,,,,,,,3.2.1,"3.1.22.a 3.2.1.a 3.2.1.a.1 3.2.1.a.2 3.2.1.a.3 3.2.1.b","3.2.1[a] 3.2.1[b] 3.2.1[c] 3.2.1[d]",,3.2.1e,,,PR.AT-01,,12.6,"8.3.8 9.5.1 9.5.1.3 12.6.3 12.6.3.1",,"8.3.8 12.6.3.1","9.5.1 9.5.1.3","9.5.1 9.5.1.3","8.3.8 9.5.1 9.5.1.3 12.6.3.1",12.6.3.1,"8.3.8 9.5.1 9.5.1.3 12.6.3 12.6.3.1","8.3.8 9.5.1 9.5.1.3 12.6.3 12.6.3.1","9.5.1 9.5.1.3",C.6.1,7.2,8.2.3,,,,"WORKFORCE-2.A.MIL1 WORKFORCE-2.B.MIL2 WORKFORCE-2.C.MIL2 WORKFORCE-2.D.MIL2 WORKFORCE-2.E.MIL3 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3","GG2.GP5 OTA:SG2.SP1","4.3 4.4","5.2.1 5.2.1.1 5.2.1.2 5.2.1.3 5.2.1.4",,AT.L2-3.2.1,"AT.L2-3.2.1 TBD - 3.2.1e",,AT.L2-3.2.1,"AT.L2-3.2.1 AT.L3-3.2.1e",AT-2,,,,,,,,AT-2 ,AT-2 ,AT-2 ,AT-2 ,AT-2 ,AT-2,AT-2,AT-2,AT-2,AT-2,,,,,314.4(e)(1),,"1.S.B 4.S.C",1.M.D,"1.M.D 1.L.C","2.D.1 AT-2",,,8-101,"2.1 2.3",6.1,,,,"5.7 5.10",AT-2 ,AT-2 ,AT-2 ,,,,,,,,,,"17.04(8) 17.03(2)(b)(1)",,,Sec 4(2)(b)(ii)(A)(4),,38-99-20(D)(5),,,AT-2,AT-2,AT-2,,,"§ 2447(b)(2)(A) § 2447(c)(8)",3.4.7(49),Art 13.6,,,,,,,,,,,,,,"HR-03 DEV-04",,,,20.2,,,,,,,,,,,,,TPC-7,,"1-10-2 1-10-3 1-10-3-1 1-10-3-2 1-10-3-3 1-10-3-4",1-8,,,,,"8.2.3 [MP.PER.3] 8.2.4 [MP.PER.4]",,,,,B6.b,B6,,,,,,,,,"0252 1146 0824",,,,,,,,,,,"4.5.2 4.5.3 4.5.3.1 7.2.2 7.2.2.19.PB",,,"9.1.5.C.01 9.1.5.C.02 9.1.6.C.01 9.1.6.C.02",,,,,3.6.1,,,,,,,,"1.8 1.9",,,,,,,,,,,,x,"NAIC MA 201 CMR 17",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Simulated Cyber Attack Scenario Training,SAT-02.1,Mechanisms exist to include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios.,,E-SAT-03,Does the organization include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios?,3,Protect,,X,,There is no evidence of a capability to include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios.,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include simulated actual cyber-attacks through practical exercises that are aligned with current threat scenarios.",,,,,,,,,,,,SO6,,,,,,,,,,,,,,,,,,,,,,,AT-2(1),,,,"AT-2(1) AT-6",,,,,AT-2(1),,,,,,AT-2(1),,,,AT-2(1),,,,,,3.2.2e,,,,,,,,,,,,,,,,K.16,,,,,,,,,,,,TBD - 3.2.2e,,,AT.L3-3.2.2e,,,,,,,,,,,,,,,,,,,,,,,,,1.S.C,,,"AT-2(1) AT-6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B6.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Social Engineering & Mining,SAT-02.2,Mechanisms exist to include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.,,E-SAT-02,Does the organization include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining?,5,Protect,,X,,There is no evidence of a capability to include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include awareness training on recognizing and reporting potential and actual instances of social engineering and social mining.",,,,"9.0 14.2",14.2,14.2,14.2,,,,,,,,,,,,,,,,,,,,,OR-3.2,,,,,,,,,,,AT-2(3),,,AT-2(3),AT-2(3),,,,AT-2(3),AT-2(3),,AT-2(3),,,,AT-2(3),,,,,,3.2.1e,,,,,,12.6.3.1,,12.6.3.1,,,12.6.3.1,12.6.3.1,12.6.3.1,12.6.3.1,,E.1.6.2,,,,,,,,,,,,TBD - 3.2.1e,,,AT.L3-3.2.1e,,,,,,,,,,,,,,AT-2(3),,AT-2(3),AT-2(3),,,,,,,,,,,AT-2(3),,,,,6.1,,,,5.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,20.4,,,,,,,,,,,,,,,1-10-3,,,,,,,,,,,B6.b,,,,,,,,,,0817,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.8 1.9",,,,,,,,,,,,,,,x,"R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1 R-SA-2",,,,,,,,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Role-Based Cybersecurity & Data Privacy Training ,SAT-03,"Mechanisms exist to provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter.",,E-SAT-05,"Does the organization provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter?",8,Protect,,X,,"There is no evidence of a capability to provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter.","Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide role-based cybersecurity & data privacy-related training: ▪ Before authorizing access to the system or performing assigned duties; ▪ When required by system changes; and ▪ Annually thereafter.",,CC1.4-POF7,,"14.3 14.4 14.7 14.8 16.9","14.3 14.4 14.7 14.8","14.3 14.4 14.7 14.8 16.9","14.3 14.4 14.7 14.8 16.9",,,"HRS-11 HRS-12 HRS-13","TRN-01 TRN-02",SO6,,,,7.3,7.3,,"7.2.1 7.2.2","5.4 6.3","7.2.1 7.2.2",,,,,,,"OR-3.1 OR-3.2",Sec 4(D)(5),GOVERN 2.2,"GV.AT-P1 GV.AT-P2 GV.AT-P3",PO.2.2,,,AT-3,AT-3,AT-3,AT-3,"AT-3 AT-3(2)",AT-3,AT-3,AT-3,AT-3,,,AT-3,AT-3,AT-3,,"AT-3 AT-3(2)",AT-3,AT-3,,"AT-3 AT-3(2)",,3.2.2,"3.1.22.a 3.2.1.a.1 3.2.2.a 3.2.2.a.1 3.2.2.a.2 3.2.2.b","3.2.2[a] 3.2.2[b] 3.2.2[c]","A.03.02.02.a.01[01] A.03.02.02.a.01[02] A.03.02.02.a.01[03] A.03.02.02.a.02 A.03.02.02.b[01] A.03.02.02.b[02] A.03.02.02.ODP[01]",,"PO.2 PO.2.2 PO.2.3","PR.AT-2 PR.AT-4 PR.AT-5",PR.AT-02,,12.6.1,"6.2.2 8.3.8 9.5.1 9.5.1.3 12.6.3 12.6.3.1 12.6.3.2",,"6.2.2 8.3.8 12.6.3.1","9.5.1 9.5.1.3","9.5.1 9.5.1.3","6.2.2 8.3.8 9.5.1 9.5.1.3 12.6.3.1",12.6.3.1,"6.2.2 8.3.8 9.5.1 9.5.1.3 12.6.3.1 12.6.3.2","6.2.2 8.3.8 9.5.1 9.5.1.3 12.6.3.1 12.6.3.2","9.5.1 9.5.1.3",E.1.6.4,7.2,"2.1.3 8.2.3",,,,WORKFORCE-2.E.MIL3,"GG2.GP5 OTA:SG4.SP1 OTA:SG4.SP3","4.3 4.4","5.2.1 5.2.1.1 5.2.1.2 5.2.1.3 5.2.1.4 5.2.2",,AT.L2-3.2.2,AT.L2-3.2.2,,AT.L2-3.2.2,AT.L2-3.2.2,AT-3,,,,,,,"§ 11.10 § 11.10(i)",AT-3 ,AT-3 ,AT-3 ,AT-3 ,AT-3 ,AT-3,AT-3,AT-3,AT-3,AT-3,,"D1.TC.Tr.E.3 D1.R.St.E.3",,,314.4(e)(1),"164.530(b) 164.530(b)(1) 164.530(b)(2)","1.S.B 4.S.C",1.M.D,"1.M.D 1.L.C","2.D.1 2.D.2.1 2.D.2.2 AT-3",,"CIP-004-6 R2","8-101 8-103 8-104","2.1 2.2 2.3",6.1,,,,5.10,AT-3 ,AT-3 ,AT-3 ,,,,"7100(a) 7100(b)",,,,,,17.04(8),,,Sec 4(2)(b)(ii)(A)(4),622(2)(d)(A)(iv,38-99-20(D)(5),,,AT-3,AT-3,AT-3,,,"§ 2447(b)(2)(A) § 2447(c)(8)","3.2.1(3) 3.4.7(49)",Art 13.6,,,,,,,,,,,,,,DEV-04,,,,"20.2 25.3",,,,,,,,,,Article 11.3,,,TPC-7,"3.1.6 3.1.7","1-10-3 1-10-3-1 1-10-3-2 1-10-3-3 1-10-3-4 1-10-4 1-10-4-1 1-10-4-2 1-10-4-3","1-8-1 1-8-2 1-8-3",,,,,"8.2.3 [MP.PER.3] 8.2.4 [MP.PER.4]",,,,,"B6.a B6.b",,,,,,,,,,"1146 1740",,,,Article 27,,,,,,,"4.5.2 4.5.3 4.5.3.1 7.2.1 7.2.2 7.2.2.19.PB",,,"9.1.6.C.01 9.1.6.C.02 9.1.6.C.03",,,,,"3.6.2 3.6.3 6.1.5",,,,,,,,"1.7 1.8 1.9",,,,,,,,,,,,x,"NAIC MA 201 CMR 17 OR 6464A",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Practical Exercises ,SAT-03.1,Mechanisms exist to include practical exercises in cybersecurity & data privacy training that reinforce training objectives.,,E-SAT-03,Does the organization include practical exercises in cybersecurity & data privacy training that reinforce training objectives?,3,Protect,,X,,There is no evidence of a capability to include practical exercises in cybersecurity & data privacy training that reinforce training objectives.,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties. • Administrative processes, physical controls and technologies exist to simulate actual cyber-attacks through practical exercises that reinforce training objectives.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Administrative processes, physical controls and technologies exist to simulate actual cyber-attacks through practical exercises that reinforce training objectives.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include practical exercises in cybersecurity & data privacy training that reinforce training objectives.",,,,14.9,,14.9,14.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,AT-3(3),,,,AT-3(3),,,,,AT-3(3),,,,,,,,,,,,,,,,3.2.2e,,,,,,,,,,,,,,,,K.15.1,,,,,,,OTA:SG2.SP3,,,,,,,,AT.L3-3.2.2e,,,,,,,,,AT-3(3),,,AT-3(3),,,,,,,,,,,,,,1.M.D,1.M.D,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B6.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.7,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1 R-SA-2",,,,,,,R-AM-3,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Suspicious Communications & Anomalous System Behavior,SAT-03.2,Mechanisms exist to provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior.,,,Does the organization provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior?,9,Protect,,X,,There is no evidence of a capability to provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior.,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide training to personnel on organization-defined indicators of malware to recognize suspicious communications and anomalous behavior.",,,,14.6,14.6,14.6,14.6,,,LOG-05,"MON-10 MON-11",,,,,,,,,,7.2.2,,,,,,,OR-3.2,,,,,,,AT-3(4),,,,"AT-2(4) AT-2(5)",,,,,"AT-2(4) AT-2(5)",,,AT-2(4),AT-2(4),,"AT-2(4) AT-2(5)",,,,"AT-2(4) AT-2(5)",,,,,,3.2.1e,,,,,,"11.5 11.5.1 11.5.1.1",,11.5.1,,,,,11.5.1,"11.5.1 11.5.1.1",,E.1.6.2,2.9,,,,,,,,,,,TBD - 3.2.1e,,,AT.L3-3.2.1e,,,,,,,,,AT-3(4),,,AT-3(4),,,,,,,,,,,,,,,8.L.D,AT-2(4),,,,,,,,,5.10,,,,,,,,,,,,,,,,,,,,,,,,,,§ 2447(c)(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-8-1 1-8-2 1-8-3 2-3-1-12",,,,,,,,,,B6.b,,,,,,,,,,"0817 0824 1740",,,,,,,,,,,7.2.2.19.PB,,,,,,,,"9.2.2 11.5.5 12.2.4",,,,,,,,"1.8 1.9",,,,,,,,,,,,,,,x,"R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1 R-SA-2",,,,,,,,,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- Added NIST 800-53 R5 mapping for AT-2(4) Security Awareness & Training ,"Sensitive Information Storage, Handling & Processing",SAT-03.3,"Mechanisms exist to ensure that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements.",,,"Does the organization ensure that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements?",9,Protect,,X,,"There is no evidence of a capability to ensure that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements.","Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that every user accessing a system processing, storing or transmitting sensitive information is formally trained in data handling requirements.",,CC2.2-POF9,,14.5,14.5,14.5,14.5,,,"DSP-17 HRS-12 HRS-13",TRN-02,,"1.1.1 1.2.10",,,,,,,,7.2.2,,,,,,,"OR-3.1 OR-3.2",,,,,,,AR-5,,,,AT-3(5),AT-3(5),,,,,,,,,,,,,,,,,"3.1.22.a 3.2.1.a.1 3.2.2.a 3.2.2.a.1 3.2.2.a.2 3.2.2.b",,,3.2.1e,,,PR.AT-02,,"1.5 2.5 3.7 4.3 5.4 6.7 7.3 8.8 9.10 10.9 11.6 12.6 12.6.1 12.6.2 12.8.3 12.8.5 12.10.4","9.5.1 9.5.1.3 12.6.3.1 12.6.3.2",,12.6.3.1,"9.5.1 9.5.1.3","9.5.1 9.5.1.3","9.5.1 9.5.1.3 12.6.3.1",12.6.3.1,"9.5.1 9.5.1.3 12.6.3.1 12.6.3.2","9.5.1 9.5.1.3 12.6.3.1 12.6.3.2","9.5.1 9.5.1.3",E.1.6,7.2,"2.1.3 8.2.3",,,,WORKFORCE-2.C.MIL2,"OTA:SG1.SP2 OTA:SG4.SP1","4.3 4.4","5.1.1.1 5.8.1",,,,,,AT.L3-3.2.1e,AR-5,,,,,,,,,,,,,,,,,,,,,,314.4(e)(1),,,,,"2.D.2.1 2.D.2.2",,"CIP-004-6 R2",,"2.1 2.2",,,,,5.10,,,,,,,,,,,,,,,,Sec 4(2)(b)(ii)(A)(4),,,,,,,,,,§ 2447(c)(8),,,,,,,,,,,,,,,,,,,,20.3,,,,,,,,,,Article 11.3,,,,3.1.7,1-10-4-2,,,,,,,,,,,B6.b,,,,,,,,,,"0831 1059",,,,,,,,,,,"4.5.3 4.5.3.1 7.2.2.19.PB",,,,,,,,"3.6.2 3.6.3 6.1.5",,,,,,,,1.7,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Vendor Cybersecurity & Data Privacy Training,SAT-03.4,Mechanisms exist to incorporate vendor-specific security training in support of new technology initiatives. ,,"E-SAT-04 E-SAT-05",Does the organization incorporate vendor-specific security training in support of new technology initiatives? ,7,Protect,,X,,There is no evidence of a capability to incorporate vendor-specific security training in support of new technology initiatives. ,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties. • Personnel management is mainly decentralized, with the responsibility for training users on new technologies and enforcing policies being assigned to users’ supervisors and managers.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties. • Business process owners are required to incorporate vendor-specific security training in support of new technology initiatives. ","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Business process owners are required to incorporate vendor-specific security training in support of new technology initiatives. ","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to incorporate vendor-specific security training in support of new technology initiatives. ",,,,,,,,,,,TRN-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"CIP-004-6 R2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DEV-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Privileged Users,SAT-03.5,Mechanisms exist to provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities ,,E-SAT-05,Does the organization provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities ,9,Protect,,X,,There is no evidence of a capability to provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities ,"Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties. • Privileged users receive formal security and/ or data privacy awareness training to ensure they understand their unique roles and responsibilities.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Privileged users receive formal security and/ or data privacy awareness training to ensure they understand their unique roles and responsibilities.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide specific training for privileged users to ensure privileged users understand their unique roles and responsibilities ",,CC2.2-POF9,,,,,,,,IAM-09,,,,,,,,,,,7.2.2,,,,,,,OR-3.2,,GOVERN 2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.2.1e,,"PR.AT-2 PR.AT-5",PR.AT-02,,,,,,,,,,,,,P.3,7.2,,,,,,,"4.3 4.4",,,,,,,AT.L3-3.2.1e,,,,,,,,"§ 11.10 § 11.10(i)",,,,,,,,,,,,"D1.TC.Tr.E.3 D1.R.St.E.3",,,314.4(e)(3),,,,,,,"CIP-004-6 R2",,2.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-10-4-1,"1-8-1 1-8-2 1-8-3",,,,,,,,,,B6.b,,,,,,,,,,1565,,,,,,,,,,,7.2.2.19.PB,,,,,,,,6.1.5,,,,,,,,1.7,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Cyber Threat Environment,SAT-03.6,Mechanisms exist to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.,,E-SAT-04,Does the organization provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations?,8,Identify,,X,,There is no evidence of a capability to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.,"SP-CMM1 is N/A, since a structured process is required to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide role-based cybersecurity & data privacy awareness training that is specific to the cyber threats that the user might encounter the user's specific day-to-day business operations.",,CC2.2-POF8,,,,,,,,,,,,,,,,,,,,,,,,,,OR-3.2,,GOVERN 2.2,,,,,,,,,AT-2(6),,,,,AT-2(6),,,,,,AT-2(6),,,,AT-2(6),,,"3.2.1.a.1 3.2.1.a.2 3.2.1.a.3 3.2.1.b 3.2.2.a 3.2.2.a.1 3.2.2.a.2 3.2.2.b",,"A.03.02.01.a.03[01] A.03.02.01.a.03[02] A.03.02.01.a.03[03] A.03.02.01.a.03[04] A.03.02.01.a.03[05] A.03.02.01.a.03[06]","3.2.1e 3.2.2e",,,PR.AT-02,,,"9.5.1 9.5.1.3 12.6.3 12.6.3.1 12.6.3.2",,12.6.3.1,"9.5.1 9.5.1.3","9.5.1 9.5.1.3","9.5.1 9.5.1.3 12.6.3.1",12.6.3.1,"9.5.1 9.5.1.3 12.6.3 12.6.3.1 12.6.3.2","9.5.1 9.5.1.3 12.6.3 12.6.3.1 12.6.3.2","9.5.1 9.5.1.3",P.3,7.2,8.2.3,,,,"WORKFORCE-2.C.MIL2 WORKFORCE-2.F.MIL3 WORKFORCE-2.G.MIL3",,"4.3 4.4",,,,TBD - 3.2.1e,,,"AT.L3-3.2.1e AT.L3-3.2.2e",,,,,,,,,,,,,,,,,,,,,,,314.4(e)(1),,,,,,,,,,6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 13.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1-8-1 1-8-2 1-8-3",,,,,,,,,,"B6.a B6.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.7 1.8 1.9",,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Continuing Professional Education (CPE) - Cybersecurity & Data Privacy Personnel,SAT-03.7,Mechanisms exist to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.,,"E-SAT-01 E-SAT-04",Does the organization ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities?,8,Identify,,X,,There is no evidence of a capability to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.,"SP-CMM1 is N/A, since a structured process is required to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.","SP-CMM2 is N/A, since a well-defined process is required to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Cybersecurity and/ or data privacy personnel receive necessary Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices pertinent to their assigned roles and responsibilities.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cybersecurity & data privacy personnel receive Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices that are pertinent to their assigned roles and responsibilities.",,CC1.4-POF7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,E.1.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,314.4(e)(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B6.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-3 R-EX-7 R-GV-1 R-GV-4 R-SA-2",,,,,,,,R-BC-1,,R-BC-3,,,,,,,,,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Continuing Professional Education (CPE) - DevOps Personnel,SAT-03.8,Mechanisms exist to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.,,,Does the organization ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats?,8,Identify,,X,,There is no evidence of a capability to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.,"SP-CMM1 is N/A, since a structured process is required to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.","SP-CMM2 is N/A, since a well-defined process is required to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to security awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including security awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic security awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats. • Cybersecurity and/ or data privacy personnel receive necessary Continuing Professional Education (CPE) training to maintain currency and proficiency with industry-recognized secure practices pertinent to their assigned roles and responsibilities. • Application development and operations (DevOps) personnel receive CPE training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure application development and operations (DevOps) personnel receive Continuing Professional Education (CPE) training on Secure Software Development Practices (SSDP) to appropriately address evolving threats.",,CC1.4-POF7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.2.2,,6.2.2,,,6.2.2,,6.2.2,6.2.2,,L.24.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B6.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-3 R-EX-7 R-GV-1 R-GV-4 R-SA-2",,,,,,,,R-BC-1,,R-BC-3,,,,,,,,,R-EX-7,R-GV-1,,,R-GV-4,,,,,,,,,,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Security Awareness & Training ,Cybersecurity & Data Privacy Training Records ,SAT-04,"Mechanisms exist to document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training.",- KnowB4 (https://www.knowbe4.com/),"E-SAT-02 E-SAT-03 E-SAT-04 E-SAT-05","Does the organization document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training?",9,Protect,,X,,"There is no evidence of a capability to document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training.","Security Awareness & Training (SAT) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training activities are decentralized. • Security awareness and training methods are often generic, without organization-specific content. • IT/cybersecurity personnel self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Training and awareness activities are decentralized (e.g., a localized/regionalized function) and use non-standardized methods to implement secure and compliant practices. • The Human Resources (HR) department works with cybersecurity personnel to facilitate workforce development and awareness to help ensure secure practices are implemented. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for security training and awareness activities. o Create/govern security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. o Self-manage their professional certification requirements to support their assigned duties.","Security Awareness & Training (SAT) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Governance, Risk & Compliance (GRC) function, or similar function: o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to cybersecurity & data privacy awareness and training. o Defines minimum cybersecurity training (including certifications) for personnel, based on their specific roles. o Creates/governs security and awareness training to meet specific statutory, regulatory and/ or contractual compliance obligations. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including cybersecurity & data privacy awareness and training. • Security awareness and training methods are role-based (e.g., handling sensitive/regulated data). • The Human Resources (HR) department: o Identifies and implements industry-recognized HR practices related to security workforce development and awareness to help ensure secure practices are implemented in personnel management operations. o Documents, retains and monitors individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training. o Ensures that every user accessing a system processing, storing or transmitting sensitive/regulated data is formally trained in data handling requirements. o Ensures all employees and contractors receive awareness education and training that is relevant for their job function, including social engineering-related threats.","Security Awareness & Training (SAT) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document, retain and monitor individual training activities, including basic cybersecurity & data privacy awareness training, ongoing awareness training and specific-system training.",,,,,,,,,,HRS-13,,,,,,,,,,,,,,,,,,"OR-3.1 OR-3.2",,,,,,,AT-4,AT-4,AT-4,AT-4,AT-4,AT-4,AT-4,AT-4,AT-4,,,AT-4,AT-4,AT-4,,AT-4,AT-4,,,AT-4,,NFO - AT-4,,,,,,,,,12.6.2,"12.6 12.6.1",,12.6.1,12.6.1,12.6.1,12.6.1,12.6.1,12.6.1,12.6.1,12.6.1,D.4,,,,,,,"OTA:SG2.SP2 OTA:SG4.SP2",,5.2.3,,,,,,,AT-4,,,,,,,,AT-4 ,AT-4 ,AT-4 ,AT-4 ,AT-4 ,AT-4,AT-4,AT-4,AT-4,AT-4,,,,,,,,,,AT-4,,,"8-103 8-104",2.3,,,,,5.10,AT-4 ,AT-4 ,AT-4 ,,,,,,,,,,,,,,,,,,AT-4,AT-4,AT-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,B6.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Technology Development & Acquisition,TDA-01,"Mechanisms exist to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.",,"E-TDA-01 E-TDA-02 E-TDA-08","Does the organization facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs?",10,Protect,X,X,X,"There is no evidence of a capability to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Project management is decentralized and generally lacks formal project management managers or broader oversight.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for technology development and acquisition practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for technology development and acquisition. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including technology development and acquisition. • A Validated Architecture Design Review (VADR) evaluates design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs.",CC5.2,"CC2.3-POF10 CC5.2-POF4",,16.0,,,,"APO03.02 APO03.03 APO04.01 BAI03.02 BAI03.03 BAI03.04 DSS03.01 DSS03.02 DSS03.03 DSS03.04 DSS03.05",Principle 11,"AIS-01 AIS-04",SET-06,,,,"RC-05-13 RQ-06-10 RQ-06-15.a RQ-06-15.b RQ-06-15.c RQ-06-16.a RQ-06-16.b RQ-06-16.c RQ-06-16.d RQ-06-17.a RQ-06-17.b",,,,14.2.7,"8.25 8.30",14.2.7,,,,,,"T1078, T1078.001, T1078.003, T1078.004, T1134.005, T1574.002",,Sec 4(D)(2)(e),"MANAGE 1.0 MANAGE 2.0",,PO.2.3,,,"PL-1 SA-1 SA-4","PL-1 SA-1 SA-4","PL-1 SA-1 SA-4","PL-1 SA-1 SA-4","PL-1 SA-1 SA-4 SA-23","PL-1 SA-1 SA-4","PL-1 SA-1 SA-4","PL-1 SA-1 SA-4","PL-1 SA-1 SA-4",SA-23,,"PL-1 SA-1 SA-4","PL-1 SA-1 SA-4","PL-1 SA-1 SA-4","3.1 3.1.1 3.1.2","PL-1 SA-1","PL-1 SA-1",,SA-1,"PL-1 SA-1",SA-1,NFO - SA-4,"3.16.1 3.17.2",,"A.03.17.02[01] A.03.17.02[02] A.03.17.02[03]",,"PO.3 PO.3.1 PO.3.2 PO.3.3",PR.DS-7,"GV.SC-03 ID.RA ID.RA-09","A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,"6.2 6.2.1",,6.2.1,,,6.2.1,,6.2.1,6.2.1,,K.1,2.8A,"5.3 5.3.1","11.1 11.2 11.3 11.4 11.5 11.6 11.7 11.8",,,"RISK-2.J.MIL3 ARCHITECTURE-4.A.MIL2 ARCHITECTURE-4.D.MIL3","EF:SG3.SP3 EF:SG4.SP1",,,,,,,,,"PL-1 SA-1",,,,,,,,"PL-1 SA-1","PL-1 SA-1","PL-1 SA-1","PL-1 SA-1","PL-1 SA-1","PL-1 SA-1","PL-1 SA-1","PL-1 SA-1","PL-1 SA-1","PL-1 SA-1",,,,,314.4(c)(4),,,,,"PL-1 SA-1",,,,16.2,,,,,,"PL-1 SA-1","PL-1 SA-1","PL-1 SA-1",,,,,,,,,,,,,Sec 4(2)(b)(ii)(B)(1),,38-99-20(D)(2)(e),,,"PL-1 SA-1","PL-1 SA-1","PL-1 SA-1",,,,"3.6.2(67) 3.6.2(74)",Art 13.7,,"Art 32.1 Art 32.2","Article 21.2(e) Article 21.3",,,"Sec 14 Sec 15",Art 16,,,,,,"7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14",DEV-01,,,,"17.1 17.9",,,,,,,,,,"Article 11.4 Article 11.5 Article 11.6",,"2-13 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4",,3.3.6,"1-6-3 2-5-4",1-1-2,,,,,"7.1.3 [OP.PL.3] 8.6.1 [MP.SW.1]",,,,,A4.a,,,,,,,,,,"0938 1780",,,,,,,,,,,14.2.7,,16.1,,,,,,"5.3.1 5.3.2 6.1.1 6.1.2 6.1.3 6.1.4 6.1.5 6.1.6 6.1.7 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3",,,,,,,,"4.8 4.9",2.4.4,,,,,,,,,,,x,NAIC,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Product Management,TDA-01.1,"Mechanisms exist to design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies.",,"E-CPL-06 E-TDA-05 E-TDA-06 E-TDA-07 E-TDA-15","Does the organization design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies?",10,Protect,X,X,,"There is no evidence of a capability to design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies.","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Project management is decentralized and generally lacks formal project management managers or broader oversight.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to design and implement product management processes to update products, including systems, software and services, to improve functionality and correct security deficiencies.",,"PI1.1-POF1 PI1.1-POF2 PI1.1-POF3",,,,,,"APO03.02 APO03.03 BAI05.01 BAI05.02 BAI05.03 BAI05.04 BAI05.05 BAI05.06 BAI05.07 BAI06.01 BAI06.02 BAI06.03 BAI06.04 BAI07.01 BAI07.02 BAI07.04 BAI07.05 BAI07.06 BAI07.07 BAI07.08 BAI08.01 BAI08.02 BAI08.03 BAI08.04 DSS03.01 DSS03.02 DSS03.03 DSS03.04 DSS03.05",,,SET-05,,,CR 3.10 (7.12),"RQ-05-12 RC-05-13 RC-05-15 RC-05-16 RQ-06-01 RQ-06-05.a RQ-06-05.b RQ-06-09 RQ-06-18 RQ-06-19 RQ-06-20 RQ-06-21.a RQ-06-21.b RQ-06-21.c RQ-10-01.a RQ-10-01.b RQ-10-01.c RQ-10-02 RQ-10-03 RQ-12-01 RQ-12-02.a RQ-12-02.b RQ-12-02.c RQ-12-02.d RQ-12-03 RQ-14-02",,,,,,,,,,,,,,,MANAGE 2.0,,"PW.4 PW.4.1 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4",,,,,,,SA-23,,,,,SA-23,,,,,,,,,,,,,,,,,"PW.1 PW.1.2 PW.1.3",,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,,,,,,,,,,,G.3,,"5.3.1 8.1.1","11.5 11.6 11.7 11.8","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.4.1 7.4.2 8.1 8.1.1 8.1.2 8.1.3","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.4.1 7.4.2 8.1 8.1.1 8.1.2 8.1.3",RISK-2.J.MIL3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1798.91.04(a) 1798.91.04(a)(1) 1798.91.04(a)(2) 1798.91.04(a)(3) 1798.91.04(b) 1798.91.04(b)(1) 1798.91.04(b)(2)",,,,,,,,,,,,,,,,,,,,,3.6.2(68),Art 13.7,,,,,,,,,,,,,"7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14",,,,,17.9,,,,,,,,,,"Article 11.4 Article 11.5 Article 11.6",,"2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4",,,,"1-1-2 4-1-1-1",,,,,,,,,,,,,,,,,,,,"1796 1797 1798",,,,,,,,,,,8.1.2.7.PB,,,"12.1.31.C.01 12.1.32.C.01 12.1.32.C.02 12.1.32.C.03 12.1.33.C.01 12.1.34.C.01 12.1.34.C.02 12.1.35.C.01 12.1.36.C.01 12.1.37.C.01 12.4.3.C.01 12.4.4.C.01 12.4.4.C.02 12.4.4.C.03 12.4.4.C.04 12.4.4.C.05 12.4.4.C.06 12.4.5.C.01 12.4.6.C.01 12.4.7.C.01",,,,,"5.8.1 5.8.2 7.6.1 7.6.2 14.4.1 14.4.2 14.4.3",,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Integrity Mechanisms for Software / Firmware Updates ,TDA-01.2,Mechanisms exist to utilize integrity validation mechanisms for security updates.,"- Checksum comparison - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",E-TDA-15,Does the organization utilize integrity validation mechanisms for security updates?,5,Protect,,X,X,There is no evidence of a capability to utilize integrity validation mechanisms for security updates.,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Technology Development & Acquisition (TDA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,"CCM-06 IAM-22",,,,,,,,,,,,,,,,,,,,PR.DS-P6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A08:2021,,,,,,,,,,,,I.3.11,,,"11.6 11.7 11.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Malware Testing Prior to Release ,TDA-01.3,Mechanisms exist to utilize at least one (1) malware detection tool to identify if any known malware exists in the final binaries of the product or security update.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization utilize at least one (1) malware detection tool to identify if any known malware exists in the final binaries of the product or security update?,9,Protect,,X,X,There is no evidence of a capability to utilize at least one (1) malware detection tool to identify if any known malware exists in the final binaries of the product or security update.,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Administrative processes exist to enable use of at least one (1) malware detection tool to identify if any known malware exists in the final binaries of any product or security update the organization creates.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Administrative processes exist to enable use of at least one (1) malware detection tool to identify if any known malware exists in the final binaries of any product or security update the organization creates.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Technology Development & Acquisition (TDA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,TVM-02,,,,SAR 3.2 (12.3.1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,T.3.1,,,"14.1 14.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1",R-AC-1,,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Minimum Viable Product (MVP) Security Requirements ,TDA-02,Mechanisms exist to ensure risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP).,,E-TDA-06,Does the organization ensure risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP)?,9,Protect,X,X,X,There is no evidence of a capability to ensure risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP).,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Project management is decentralized and generally lacks formal project management managers or broader oversight.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure risk-based technical and functional specifications are established to define a Minimum Viable Product (MVP).",CC5.2,"PI1.1-POF1 PI1.1-POF2 PI1.1-POF3",,,,,,,Principle 11,,SDV-07,,,,,,,,14.2.9,"8.25 8.29 8.30",14.2.9,,,,,,,,,,,,,,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,,,SA-4,SA-4,SA-4,,SA-4,SA-4,,SA-4,SA-4,SA-4,NFO - SA-4,,,"A.03.16.01 A.03.16.01.ODP[01] A.03.16.03.ODP[01]",,"PO.1 PO.1.1 PO.1.2 PO.1.3",,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,,,,,,,,,,,C.1.4,"2.8A 2.9 2.10","5.3.1 8.1.1","4.1 5.1 8.1 8.2 8.3 8.4 8.5 8.6 8.7 8.8 8.9 12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4","7.2.2.1(a) 7.2.2.1(b) 7.2.2.1(c) 7.2.2.2(a) 7.2.2.2(b) 7.2.2.2(c) 7.2.2.2(d) 7.2.2.2(e) 7.2.2.2(f) 7.2.2.2(g) 7.2.2.2(h) 7.2.2.3 7.2.2.4(a) 7.2.2.4(b) 7.2.2.5 7.3.4",,"EXD:SG3.SP4 RTSE:SG1.SP1 RTSE:SG1.SP2 RTSE:SG1.SP3 RTSE:SG1.SP4 RTSE:SG1.SP5",,,,,,,,,SA-4,,,,,,,,SA-4 ,SA-4 ,SA-4 ,SA-4 ,SA-4 ,SA-4,SA-4,SA-4,SA-4,SA-4,,,,,,,,,,SA-4,,,"8-302 8-613",,,,,,,,,,,,"1798.91.04(a) 1798.91.04(a)(1) 1798.91.04(a)(2) 1798.91.04(a)(3) 1798.91.04(b) 1798.91.04(b)(1) 1798.91.04(b)(2)",,,,,,,,,,,,,,,SA-4,SA-4,SA-4,,,,3.6.2(68),,,,,,,,,,,,,,7.7,DEV-02,,,,,,,,,,,,,,,,"2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.2.9,,,,,,,,5.3.3,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,"Ports, Protocols & Services In Use",TDA-02.1,"Mechanisms exist to require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use. ","- Ports, Protocols & Services (PPS)","E-CPL-06 E-TDA-07","Does the organization require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use? ",8,Protect,,X,X,"There is no evidence of a capability to require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use. ","SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to identify early in the Secure Development Life Cycle (SDLC), the functions, ports, protocols and services intended for use. ",,,,12.6,,12.6,12.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-4(9),,SA-4(9),SA-4(9),SA-4(9),,,SA-4(9),SA-4(9),,,,SA-4(9),SA-4(9),,,,,,,,NFO - SA-4(9),,,,,"PO.1 PO.1.1 PO.1.2 PO.1.3",,,,,1.2.4,,1.2.4,,,,,1.2.4,1.2.4,,I.1.4.1,,,4.1,,,,,,,,,,,,,SA-4(9),,,,,,,,SA-4(9) ,,SA-4(9) ,SA-4(9) ,,SA-4(9),,SA-4(9),SA-4(9),,,,,,,,,,,SA-4(9),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-4(9),,,,,,,,,,,,,,,,,,,,,,,"12.9 12.29",,,,,,,,,,,,,,,"2-5-3-5 2-15-3-3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"18.1.15.C.01 18.1.15.C.02 18.1.15.C.03 18.1.15.C.04",,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Information Assurance Enabled Products,TDA-02.2,Mechanisms exist to limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved.,- FIPS 201,,Does the organization limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved?,2,Protect,,X,X,There is no evidence of a capability to limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved.,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit the use of commercially-provided Information Assurance (IA) and IA-enabled IT products to those products that have been successfully evaluated against a National Information Assurance partnership (NIAP)-approved Protection Profile or the cryptographic module is FIPS-validated or NSA-approved.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"SA-4(10) IA-5(11)","SA-4(10) IA-5(11)","SA-4(10) IA-5(11)","SA-4(10) IA-5(11)","SA-4(7) SA-4(10) IA-2(1) IA-2(2)",,"SA-4(10) IA-2(1) IA-2(2)","SA-4(10) IA-2(1) IA-2(2)","SA-4(10) IA-2(1) IA-2(2)",,,"SA-4(10) IA-2(1) IA-2(2)","SA-4(10) IA-2(1) IA-2(2)","SA-4(10) IA-2(1) IA-2(2)",,SA-4(7),,,,SA-4(7),SA-4(7),NFO - SA-4(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,IA-5(11),,,,,,,,"SA-4(10) IA-5(11) ",IA-5(11) ,"SA-4(10) IA-5(11) ","SA-4(10) IA-5(11) ","SA-4(10) IA-5(11) ",SA-4(10),SA-4(10),SA-4(10),SA-4(10),SA-4(10),,,,,,,,,,"IA-2(1) IA-2(2)",,,,,,,,,5.3,,,,,,,,,,,,,,,,,,,,,"IA-2(1) IA-2(2)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,"Development Methods, Techniques & Processes",TDA-02.3,"Mechanisms exist to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.",,E-TDA-04,"Does the organization require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software?",5,Identify,X,X,X,"There is no evidence of a capability to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.","SP-CMM1 is N/A, since a structured process is required to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require software vendors / manufacturers to demonstrate that their software development processes employ industry-recognized secure practices for secure programming, engineering methods, quality control processes and validation techniques to minimize flawed or malformed software.",,,,16.1,,16.1,16.1,,,,SDV-07,,,,,,,,14.2.9,"8.25 8.29",14.2.9,,,,,,,,,,"CT.DM-P9 CT.DM-P10",,,,SA-4(3),,,,"SA-4(3) SR-3(1)",,,,,"SA-4(3) SR-3(1)",,,,,,SR-3(1),,,,SR-3(1),SR-3(1),,3.16.1,,,,"PO.1 PO.1.1 PO.1.2 PO.1.3 PO.3 PO.3.1 PO.3.2 PO.3.3",,,A04:2021,,"6.2 6.2.1",,6.2.1,,,6.2.1,,6.2.1,6.2.1,,i.1.4.2,,5.3.1,,,,"ARCHITECTURE-4.B.MIL2 ARCHITECTURE-4.E.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.6.2(69) 3.6.2(74)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.6.1 [MP.SW.1],,,,,,,,,,,,,,,,,,,,,,,,,,14.2.9,,,,,,,,"6.1.4 6.1.5 6.1.6 6.1.7",,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Pre-Established Secure Configurations,TDA-02.4,"Mechanisms exist to ensure vendors / manufacturers: ▪ Deliver the system, component, or service with a pre-established, secure configuration implemented; and ▪ Use the pre-established, secure configuration as the default for any subsequent system, component, or service reinstallation or upgrade.",,,"Does the organization ensure vendors / manufacturers: ▪ Deliver the system, component, or service with a pre-established, secure configuration implemented; and ▪ Use the pre-established, secure configuration as the default for any subsequent system, component, or service reinstallation or upgrade?",8,Protect,,X,X,"There is no evidence of a capability to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.","SP-CMM1 is N/A, since a structured process is required to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure software vendors / manufacturers: ▪ Deliver the system, component, or service with pre-established security configurations implemented; and ▪ Use the pre-established security configurations as the default for any subsequent system, component, or service reinstallation or upgrade.",,,,,,,,,,,,,,CR 7.6 (11.8.1),,,,,,,,,,,,,,,,,,,,,,,,,SA-4(5),,,,SA-4(5),,,,,SA-4(5),,SA-4(5),,,,,SA-4(5),,3.16.1,,,,"PW.1 PW.1.3",,,,,,,,,,,,,,,"V.4.3 V.4.4 V.4.5",,,,,,ARCHITECTURE-4.C.MIL2,,,,,,,,,,,,,,,,,,,,,,,SA-4(5),,,SA-4(5),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.6.2(69),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,"Identification & Justification of Ports, Protocols & Services",TDA-02.5,"Mechanisms exist to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions. ",,"E-CPL-06 E-TDA-07","Does the organization require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions? ",8,Identify,,X,X,"There is no evidence of a capability to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions. ","SP-CMM1 is N/A, since a structured process is required to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions. ","SP-CMM2 is N/A, since a well-defined process is required to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions. ","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require process owners to identify, document and justify the business need for the ports, protocols and other services necessary to operate their technology solutions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.2.5,,1.2.5,,1.2.5,,,1.2.5,1.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,"Insecure Ports, Protocols & Services",TDA-02.6,"Mechanisms exist to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions. ",,,"Does the organization mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions? ",9,Protect,,X,X,"There is no evidence of a capability to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions. ","SP-CMM1 is N/A, since a structured process is required to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions. ","SP-CMM2 is N/A, since a well-defined process is required to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions. ","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mitigate the risk associated with the use of insecure ports, protocols and services necessary to operate technology solutions. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.2.6 2.2.5",,"1.2.6 2.2.5",,1.2.6,2.2.5,2.2.5,"1.2.6 2.2.5","1.2.6 2.2.5",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Cybersecurity & Data Privacy Representatives For Product Changes,TDA-02.7,Mechanisms exist to include appropriate cybersecurity & data privacy representatives in the product feature and/or functionality change control review process.,,,Does the organization include appropriate cybersecurity & data privacy representatives in the product feature and/or functionality change control review process?,10,Identify,X,X,,There is no evidence of a capability to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.,"SP-CMM1 is N/A, since a structured process is required to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.","SP-CMM2 is N/A, since a well-defined process is required to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include appropriate cybersecurity & data privacy representatives in the product feature and/ or functionality change control review process.",,,,,,,,,,,,,,,RC-05-13,,,,,,,,,,,,,,,,,,,,,,,,SA-10(7),,,,,SA-10(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ARCHITECTURE-4.F.MIL3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-10(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.6.2(69),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Commercial Off-The-Shelf (COTS) Security Solutions ,TDA-03,Mechanisms exist to utilize only Commercial Off-the-Shelf (COTS) security products. ,,,Does the organization utilize only Commercial Off-the-Shelf (COTS) security products? ,5,Protect,,X,X,There is no evidence of a capability to utilize only Commercial Off-the-Shelf (COTS) security products. ,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize only Commercial Off-the-Shelf (COTS) security products. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-4(6),,,,SA-4(6),,,,,SA-4(6),,,,,,,,,,,,,3.16.1,,,,"PW.4 PW.4.1 PW.4.2 PW.4.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"5.3.3 6.1.3",,,,,,,,,,,,,,,,,,,,,,,x,"R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Supplier Diversity,TDA-03.1,Mechanisms exist to obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk.,- Supplier diversity,,Does the organization obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk?,3,Protect,,X,X,There is no evidence of a capability to obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk.,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain cybersecurity & data privacy technologies from different suppliers to minimize supply chain risk.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PL-8(2),,,,"PL-8(2) SR-3(1)",,,,,"PL-8(2) SR-3(1)",,,,,,"PL-8(2) SR-3(1)",,,,"PL-8(2) SR-3(1)","PL-8(2) SR-3(1)",,,,,,,,,,,,,,,,,,,,,I.1.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,,,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Documentation Requirements,TDA-04,"Mechanisms exist to obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.",,"E-CPL-06 E-TDA-06 E-TDA-10","Does the organization obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e?g?, privileged) functions?",8,Protect,,,X,"There is no evidence of a capability to obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.","SP-CMM1 is N/A, since a structured process is required to obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain, protect and distribute administrator documentation for systems that describe: ▪ Secure configuration, installation and operation of the system; ▪ Effective use and maintenance of security features/functions; and ▪ Known vulnerabilities regarding configuration and use of administrative (e.g., privileged) functions.",,,,,,,,,,IVS-08,,,,,"RQ-06-11 RQ-06-12 RQ-06-14 RQ-06-16 RQ-06-17 RQ-06-18 RQ-06-21 RQ-06-21.c RQ-06-22",,,,,,,,,,,,,,,,,,,,SA-5,SA-5,SA-5,SA-5,SA-5,,SA-5,SA-5,SA-5,,,SA-5,SA-5,SA-5,,SA-5,SA-5,,,,SA-5,NFO - SA-5,,,,,"PO.1 PO.1.1 PO.1.2 PO.1.3",,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,,,,,,,,,,,,,,"4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9",,,,TM:SG4.SP2,,,,,,,,,SA-5,,,,,,,,SA-5 ,SA-5 ,SA-5 ,SA-5 ,SA-5 ,SA-5,SA-5,SA-5,SA-5,SA-5,,,,,,,,,,SA-5,,,"8-202 8-320 8-610",,,,,,,SA-5 ,SA-5 ,SA-5 ,,,,,,,,,,,,,,,,,,SA-5,SA-5,SA-5,,,,3.6.2(73),,,,,,,,,,,,,,,DEV-02,,,,"17.6 17.10",,,,,,,,,,,,,,,,1-1-2,,,,,,,,,,,,,,,,,,,,1798,,,,,,,,,,,,,,"3.4.10.C.01 3.4.10.C.02",,,,,6.1.4,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-3 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,R-IR-3,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Functional Properties ,TDA-04.1,"Mechanisms exist to require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls. ",- SSAE-16 SOC2 report,"E-CPL-06 E-TDA-06 E-TDA-10 E-TDA-15","Does the organization require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls? ",8,Protect,,X,X,"There is no evidence of a capability to require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls. ","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require vendors/contractors to provide information describing the functional properties of the security controls to be utilized within systems, system components or services in sufficient detail to permit analysis and testing of the controls. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"SA-4(1) SA-4(2)",,"SA-4(1) SA-4(2)","SA-4(1) SA-4(2)","SA-4(1) SA-4(2)",,,"SA-4(1) SA-4(2)","SA-4(1) SA-4(2)",,,,"SA-4(1) SA-4(2)","SA-4(1) SA-4(2)",,,,,,,,"NFO - SA-4(1) NFO - SA-4(2)",,,,,,,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,,,,,,,,,,,B.1.1.1,,,"4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9",,,,,,,,,,,,,"SA-4(1) SA-4(2)",,,,,,,,"SA-4(1) SA-4(2) ",,"SA-4(1) SA-4(2) ","SA-4(1) SA-4(2) ",,"SA-4(1) SA-4(2)",,"SA-4(1) SA-4(2)","SA-4(1) SA-4(2)",,,,,,,,,,,"SA-4(1) SA-4(2)",,,,,,,,,,,,SA-4(1),,,,,,,,,,,,,,,,,,,SA-4(1),"SA-4(1) SA-4(2)",,,,3.6.2(69),,,,,,,,,,,,,,,DEV-02,,,,"17.6 17.10",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1798,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Software Bill of Materials (SBOM),TDA-04.2,"Mechanisms exist to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.",,E-TDA-12,"Does the organization require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses?",9,Identify,,X,X,"There is no evidence of a capability to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.","SP-CMM1 is N/A, since a structured process is required to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.","SP-CMM2 is N/A, since a well-defined process is required to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • A Software Bill of Materials (SBOM) is required, for systems, applications and services, listing software packages in use, including versions and applicable licenses.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require a Software Bill of Materials (SBOM) for systems, applications and services that lists software packages in use, including versions and applicable licenses.",,,,"16.2 16.4",,"16.2 16.4","16.2 16.4",,,,SDV-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PO.1 PO.1.1 PO.1.2 PO.1.3 PS.3.2",,,,,6.3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1730,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Developer Architecture & Design ,TDA-05,"Mechanisms exist to require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.",,E-TDA-04,"Does the organization require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection?",8,Protect,,X,X,"There is no evidence of a capability to require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.","SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to produce a design specification and security architecture that: ▪ Is consistent with and supportive of the organization’s security architecture which is established within and is an integrated part of the organization’s enterprise architecture; ▪ Accurately and completely describes the required security functionality and the allocation of security controls among physical and logical components; and ▪ Expresses how individual security functions, mechanisms and services work together to provide required security capabilities and a unified approach to protection.",,,,"16.1 16.10",,"16.1 16.10","16.1 16.10",,,,,,,,"RQ-06-15.a RQ-06-15.b RQ-06-15.c RQ-06-16.a RQ-06-16.b RQ-06-16.c RQ-06-16.d RQ-06-17.a RQ-06-17.b RQ-06-18 RQ-06-19 RQ-06-20 RQ-06-21.a RQ-06-21.b RQ-06-21.c RQ-10-01.a RQ-10-01.b RQ-10-01.c RQ-10-02 RQ-10-03 RQ-10-04.a RQ-10-04.b RQ-10-04.c RQ-10-04.d RQ-10-04.e RQ-10-04.f RQ-10-05 RQ-10-06 RQ-10-07 RQ-10-08 RQ-10-09",,,,,"8.27 8.30",,,,,,,"T1078, T1078.001, T1078.003, T1078.004, T1134.005, T1482, T1574.002",,,,,,,,SA-17,,,SA-17,SA-17,,,,SA-17,,,,,SA-17,,SA-17,,,,SA-17,SA-17,,3.16.1,,,"3.14.1e 3.14.7e","PO.1 PO.1.1 PO.1.2 PO.1.3 PO.3 PO.3.1 PO.3.2 PO.3.3",,,A04:2021,,"6.2 6.2.1",,6.2.1,,,6.2.1,,6.2.1,6.2.1,,G.3,,5.3.1,5.1,,,,RTSE:SG1.SP3,,,,,"TBD - 3.14.1e TBD - 3.14.7e",,,SI.L3-3.14.1e,,,,,,,,,SA-17,,,SA-17,,SA-17,,,SA-17,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.6.2(69),,,,,,,,,,,,,,,DEV-02,,,,17.6,,,,,,,,,,,,,,,1-6-3-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6.1.5 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3",,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Physical Diagnostic & Test Interfaces,TDA-05.1,Mechanisms exist to secure physical diagnostic and test interfaces to prevent misuse.,,,Does the organization secure physical diagnostic and test interfaces to prevent misuse?,5,Detect,,,X,There is no evidence of a capability to secure physical diagnostic and test interfaces to prevent misuse.,"SP-CMM1 is N/A, since a structured process is required to secure physical diagnostic and test interfaces to prevent misuse.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to secure physical diagnostic and test interfaces to prevent misuse.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to secure physical diagnostic and test interfaces to prevent misuse.",,,,,,,,,,,,,,"CR 2.13 (6.15) EDR 2.13 (13.3.1) HDR 2.13 (14.3.1) NDR 2.13 (15.5.1)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.2.6,,2.2.6,,,2.2.6,2.2.6,2.2.6,2.2.6,,F.1.2.8.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Diagnostic & Test Interface Monitoring,TDA-05.2,Mechanisms exist to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.,,,Does the organization enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces?,3,Detect,,,X,There is no evidence of a capability to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.,"SP-CMM1 is N/A, since a structured process is required to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to enable endpoint devices to log events and generate alerts for attempts to access diagnostic and test interfaces.",,,,,,,,,,,,,,"EDR 2.13 (13.3.3(1)) HDR 2.13 (14.3.3(1)) NDR 2.13 (15.5.3(1))",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,M.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Secure Coding ,TDA-06,Mechanisms exist to develop applications based on secure coding principles. ,"- OWASP's Application Security Verification Standard (ASVS) - Mobile Application Security Verification Standard (MASVS)","E-TDA-08 E-TDA-11",Does the organization develop applications based on secure coding principles? ,10,Protect,X,X,X,There is no evidence of a capability to develop applications based on secure coding principles. ,"SP-CMM1 is N/A, since a structured process is required to develop applications based on secure coding principles. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Technology Development & Acquisition (TDA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ","PI1.1 PI1.2 PI1.3 PI1.4 PI1.5","PI1.2-POF1 PI1.2-POF2 PI1.2-POF3 PI1.3-POF1 PI1.3-POF2 PI1.3-POF3 PI1.3-POF4 PI1.3-POF5 PI1.4-POF1 PI1.4-POF2 PI1.4-POF3 PI1.4-POF4 PI1.5-POF1 PI1.5-POF2 PI1.5-POF3 PI1.5-POF4",,"16.0 16.1 16.5 16.10 16.11",,"16.1 16.5 16.10 16.11","16.1 16.5 16.10 16.11",APO03.02,,AIS-04,SDV-05,,,CCSC 4 (4.5),"RQ-10-01.a RQ-10-01.b RQ-10-01.c RQ-10-02 RQ-10-03 RQ-10-04.a RQ-10-04.b RQ-10-04.c RQ-10-04.d RQ-10-04.e RQ-10-04.f RQ-10-05 RQ-10-06 RQ-10-07 RQ-10-08 RQ-10-09",,,,"14.2.1 14.2.5 ","8.25 8.26 8.27 8.28 8.30","14.2.1 14.2.5 ",,"6.11.2 6.11.2.1 6.11.2.5",,,,"T1078, T1078.001, T1078.003, T1078.004, T1213.003, T1528, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1558.004, T1574.002","TS-1.12 TS-1.13",Sec 4(D)(2)(e),,"CT.PO-P1 CT.DM-P7 CT.DM-P8 CT.DM-P9 CT.DM-P10","PW.1 PW.1.1 PW.4 PW.4.1 PW.4.2 PW.4.3 PW.5 PW.5.1",,,"SA-1 SA-15",SA-1,SA-1,"SA-1 SA-15","SA-1 SA-4(3) SA-15",SA-1,SA-1,"SA-1 SA-15","SA-1 SA-15",SA-4(3),,SA-1,"SA-1 SA-15","SA-1 SA-15",,"SA-1 SA-15",SA-1,,SA-1,"SA-1 SA-15","SA-1 SA-15",NFO - SA-1,3.16.1,"3.13.2[b] 3.13.2[e]",,,"PO.1 PO.1.1 PO.1.2 PO.1.3 PO.3 PO.3.1 PO.3.2 PO.3.3 PW.5 PW.5.1 PW.6 PW.6.1 PW.6.2",,PR.PS-06,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021","6.3 6.3.1 6.3.2 6.5 6.5.1 6.5.2 6.5.3 6.5.4 6.5.5 6.5.6 6.5.7 6.5.8 6.5.9 6.5.10","6.2 6.2.1 6.2.4",,"6.2.1 6.2.4",,,"6.2.1 6.2.4",,"6.2.1 6.2.4","6.2.1 6.2.4",,G.2.12,2.10,5.3.1,"4.1 5.1",,,,"CTRL:SG2.SP1 IMC:SG1.SP1 MA:SG1.SP2 MA:SG2.SP4 RTSE:SG1.SP1",,5.10.4.5,,,,,,,SA-1,,,,,,,,"SA-1 SA-15",SA-1 ,SA-1 ,"SA-1 SA-15",SA-1 ,"SA-1 SA-15",SA-1,"SA-1 SA-15","SA-1 SA-15",SA-1,,,,,314.4(c)(4),,,,,"SA-1 SA-15",,,,,,,,,,,,,,,,,,,,,,,,500.08,,,38-99-20(D)(2)(e),,,SA-1,SA-1,SA-1,,,,3.6.2(69),,,,Article 21.3,,,,,,,,,,"7.6 7.7 7.8 7.9 7.10","DEV-02 DEV-07 DEV-08",,,,"11.9 17.6 17.9 17.20 17.25",,,,,,,,,,,,"1-3-2-3 2-13-1 2-13-2 2-13-3-1 2-13-3-2 2-13-3-3 2-13-3-4","TPC-60 TPC-62",,1-6-3-1,,,,,,,,,,,,,,,,,,,,,"1419 0401 1239 1552",,,,,,,,,,,"14.2.1 14.2.1.13.PB 14.2.5",,,14.4.5.C.01,,,,,"5.3.2 6.1.1 6.1.2 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3",,,,,,6.20,,"4.8 4.9",2.4.5,,,,,,,,,,,x,NAIC,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Criticality Analysis,TDA-06.1,"Mechanisms exist to require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).",- Secure Development Life Cycle (SDLC),,"Does the organization require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC)?",9,Protect,,X,X,"There is no evidence of a capability to require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).","SP-CMM1 is N/A, since a structured process is required to require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developer of the system, system component or service to perform a criticality analysis at organization-defined decision points in the Secure Development Life Cycle (SDLC).",PI1.1,,,,,,,,,,SET-01,,,,,,,,,8.29,,,,,,5.3.3,"T1195.003, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1553, T1553.006, T1601, T1601.001, T1601.002",,,,ID.BE-P3,PW.1.1,,,,,,,"PM-30(1) RA-9 SA-15(3)",,,SA-15(3),SA-15(3),PM-30(1),,,SA-15(3),SA-15(3),,SA-15(3),,,,SA-15(3),SA-15(3),,,,,,"PW.1 PW.1.1",,,,,,,,,,,,,,,K.11.2,,,,7.3.3,7.3.3,"ASSET-1.C.MIL2 ASSET-1.D.MIL2 ASSET-2.C.MIL2 ASSET-2.D.MIL2",,,,,,,,,,,,,,,,,,,,,,,"RA-9 SA-15(3)",,"RA-9 SA-15(3)","RA-9 SA-15(3)",,,,,,,,,,,SA-15(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A4,,,,,,,,,,,,21(b),,,,,,,,,,,"14.4.6.C.01 14.4.6.C.02 14.4.6.C.03",,,,,,,,,,,,,,3.2.3,,,,,,,,,,,x,,,,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Threat Modeling,TDA-06.2,"Mechanisms exist to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.",,"E-TDA-03 E-TDA-10 E-THR-05","Does the organization perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for?",7,Identify,,X,X,"There is no evidence of a capability to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.","SP-CMM1 is N/A, since a structured process is required to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform threat modelling and other secure design techniques, to ensure that threats to software and solutions are identified and accounted for.",,,,"16.2 16.14",,16.2,"16.2 16.14",,,,SDV-06,,,,"PM-06-08 RQ-15-02 RQ-15-03 RQ-15-04 RQ-15-05 RQ-15-06 RQ-15-07 RQ-15-08 RQ-15-09 RQ-15-10 RQ-15-11.a RQ-15-11.b RQ-15-11.c RQ-15-12.a RQ-15-12.b RQ-15-12.c RQ-15-12.d RQ-15-12.e RQ-15-13.a RQ-15-13.b RQ-15-13.c RQ-15-13.d RQ-15-14 RQ-15-15 RQ-15-16",,,,,,,,,,,,,,,,,PW.1.1,,,,,,,"SA-15(4) SA-15(8)",,,,,,,,,,,"SA-15(4) SA-15(8)",,,,SA-15(4),"SA-15(4) SA-15(8)",,,,,,"PW.1 PW.1.1",,,"A04:2021 A08:2021",,,,,,,,,,,,G.3.2,7.4A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.6.2(69),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1238,,,,,,,,,,,,,,"14.4.6.C.01 14.4.6.C.02 14.4.6.C.03",,,,,,,,,,,,,,3.1.6,,,,,,,,,,,,,,,"R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Software Assurance Maturity Model (SAMM),TDA-06.3,"Mechanisms exist to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.",,"E-TDA-04 E-TDA-11","Does the organization utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services?",9,Identify,,X,,"There is no evidence of a capability to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.","SP-CMM1 is N/A, since a structured process is required to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.","SP-CMM2 is N/A, since a well-defined process is required to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a Software Assurance Maturity Model (SAMM) to govern a secure development lifecycle for the development of systems, applications and services.",,,,"16.1 16.5 16.11",,"16.1 16.5 16.11","16.1 16.5 16.11",,,,SDV-03,,,,,,,,,,,,,,,,,TS-1.13,,,,"PW.1 PW.1.1 PW.4.2 PW.4.3 PW.5 PW.5.1 PW.5.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PW.1 PW.1.1 PW.1.2 PW.1.3 PW.6 PW.6.1 PW.6.2 RV.1 RV.1.1 RV.1.2 RV.1.3",,,"A04:2021 A08:2021",,6.2.2,,6.2.2,,,6.2.2,,6.2.2,6.2.2,,G.2.18,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.6.1 [MP.SW.1],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"6.1.1 6.1.2 6.2.1 6.2.2 6.3.1 6.3.2 6.4.1 6.4.2 6.4.3 6.4.4 6.4.5 6.4.6 6.4.7 6.4.8 6.5.1 6.5.2 6.5.3 7.6.1 7.6.2",,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Supporting Toolchain,TDA-06.4,"Automated mechanisms exist to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.",,,"Does the organization use automated mechanisms to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle?",6,Identify,,X,X,"There is no evidence of a capability to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.","SP-CMM1 is N/A, since a structured process is required to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.","SP-CMM2 is N/A, since a well-defined process is required to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to improve the accuracy, consistency and comprehensiveness of secure practices throughout the asset's lifecycle.",,,,,,,,,,,,,,,RC-05-15,,,,,,,,,,,,,,,,,"PO.3 PO.3.1 PO.3.2 PO.3.3 PW.6 PW.6.1 PW.6.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PO.3 PO.3.1 PO.3.2 PO.3.3",,,,,,,,,,,,,,,J.3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Technology Development & Acquisition,Software Design Review,TDA-06.5,Mechanisms exist to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.,,E-TDA-05,Does the organization have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed?,10,Detect,,X,X,There is no evidence of a capability to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.,"SP-CMM1 is N/A, since a structured process is required to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.","SP-CMM2 is N/A, since a well-defined process is required to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An independent software engineer reviews the software design to confirm that it meets all of the security requirements and satisfactorily addresses any identified risks.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to have an independent review of the software design to confirm that all cybersecurity & data privacy requirements are met and that any identified risks are satisfactorily addressed.",,,,"16.2 16.7 16.12",,"16.2 16.7","16.2 16.7 16.12",,,,,,,,"RQ-10-10.a RQ-10-10.b RQ-10-10.c RQ-10-10.d RQ-10-11 RQ-10-12 RQ-10-13 RQ-11-01.a RQ-11-01.b RQ-11-01.c RQ-11-01.d RQ-11-02",,,,,,,,,,,,,,,,,"PW.2 PW.2.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PO.4 PO.4.1 PO.4.2 PW.1 PW.1.1 PW.1.2 PW.1.3 PW.2 PW.2.1 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2 RV.1 RV.1.1 RV.1.2 RV.1.3",,,,,6.2.3,,,,,,,6.2.3,6.2.3,,I.2.5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.6.2(69),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.6.2 [MP.SW.2],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"5.7.4 6.1.1 6.1.2 6.1.3 6.1.4 6.1.6 6.1.7",,,,,,,,,3.2.9,,,,,,,,,,,,,,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Secure Development Environments ,TDA-07,Mechanisms exist to maintain a segmented development network to ensure a secure development environment. ,,,Does the organization maintain a segmented development network to ensure a secure development environment? ,9,Protect,X,X,X,There is no evidence of a capability to maintain a segmented development network to ensure a secure development environment. ,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Technology Development & Acquisition (TDA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,16.8,,16.8,16.8,,,"AIS-06 IVS-05",,,,,RC-05-15,,,,"14.2.1 14.2.6","8.25 8.31","14.2.1 14.2.6",,6.11.2.6,,,,,"TS-1.0 TS-2.5",,,PR.DS-P7,,,,,,,,SA-3(1),,,,,SA-3(1),,,,,,,,,,,,,,,,,"PO.5 PO.5.1 PO.5.2",,,,,6.5.3,,,,,,,6.5.3,6.5.3,,D.21,,5.2.2,,7.3.5,7.3.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.6.2(69) 3.6.2(72)",,,,,,,,,,,,,,,"DEV-02 DEV-10",,,,10.1,,,,,,,,,,,,1-3-2-4,TPC-73,,,1-4-1-4,,,,,,,,,,,,,,,,,,,,"1419 0400",,,,,,,,,,,"14.2.1 14.2.1.13.PB 14.2.6",,,14.4.4.C.01,,,,,5.7.3,,,,,,,,,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,"Separation of Development, Testing and Operational Environments ",TDA-08,"Mechanisms exist to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.",,,"Does the organization manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems?",10,Protect,,X,X,"There is no evidence of a capability to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • IT/cybersecurity architects manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to manage separate development, testing and operational environments to reduce the risks of unauthorized access or changes to the operational environment and to ensure no impact to production systems.",,,,16.8,,16.8,16.8,,,"AIS-06 IVS-05",,,,,RC-05-15,,,,12.1.4 ,"8.25 8.31",12.1.4 ,,6.9.1.4,,,,,"TS-1.0 TS-2.5",,,PR.DS-P7,,,,CM-4(1),,,CM-4(1),CM-4(1),,,,CM-4(1),,,,,CM-4(1),,CM-4(1),,,,,CM-4(1),3.4.5,,,,,"PO.5 PO.5.1 PO.5.2",PR.DS-7,,,6.4.1,"6.5.3 6.5.6",,,,,,,"6.5.3 6.5.6","6.5.3 6.5.6",,I.1.1,,5.2.2,,,,,,,,,CM.L2-3.4.5,,,CM.L2-3.4.5,CM.L2-3.4.5,CM-4(1),,,,,,,,CM-4(1),,,CM-4(1),,CM-4(1),,,CM-4(1),,,D3.PC.Am.B.10,,,,,6.S.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.6.2(69) 3.6.2(72)",,,,,,,,,,,,,,,DEV-10,,,,10.1,,,,,,,,,,,,1-3-2-4,TPC-73,,2-5-3-2,1-4-1-4,,,,,,,,,,,,,,,,,,,,0400,,,,,,,,,,,12.1.4,,,,,,,,5.7.3,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Secure Migration Practices,TDA-08.1,"Mechanisms exist to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.",,,"Does the organization ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment?",8,Protect,,X,X,"There is no evidence of a capability to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.","SP-CMM1 is N/A, since a structured process is required to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure secure migration practices purge systems, applications and services of test/development/staging data and accounts before it is migrated into a production environment.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.5.6,,,,,,,6.5.6,6.5.6,,"I.1.5.2 I.1.5.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-3-2-4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Cybersecurity & Data Privacy Testing Throughout Development ,TDA-09,"Mechanisms exist to require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes.",- Security Test & Evaluation (ST&E),"E-TDA-03 E-TDA-05","Does the organization require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes?",9,Protect,X,X,X,"There is no evidence of a capability to require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes.","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require system developers/integrators consult with cybersecurity & data privacy personnel to: ▪ Create and implement a Security Test and Evaluation (ST&E) plan; ▪ Implement a verifiable flaw remediation process to correct weaknesses and deficiencies identified during the security testing and evaluation process; and ▪ Document the results of the security testing/evaluation and flaw remediation processes.",,,,"16.2 16.3 16.12",,"16.2 16.3","16.2 16.3 16.12",,,"AIS-05 TVM-03","SDV-07 SET-04 SET-05 SET-06",,,,"RQ-10-10.a RQ-10-10.b RQ-10-10.c RQ-10-10.d RQ-10-11 RQ-10-12 RQ-10-13 RQ-11-01.a RQ-11-01.b RQ-11-01.c RQ-11-01.d RQ-11-02",,,,"14.2.7 14.2.8 14.2.9","8.25 8.29 8.30","14.2.7 14.2.8 14.2.9",,"6.11.2.7 6.11.2.8",,,,"T1078, T1078.001, T1078.003, T1078.004, T1134.005, T1195.003, T1213.003, T1495, T1505, T1505.001, T1505.002, T1505.004, T1528, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1547.011, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1553, T1553.006, T1558.004, T1574.002, T1601, T1601.001, T1601.002, T1612",TS-1.12,Sec 4(D)(2)(e),,"CT.DM-P9 CT.DM-P10","PO.4 PO.4.1 PO.4.2 PW.3 PW.3.1 PW.3.2 PW.5.2 RV.1 RV.1.1 RV.1.2 RV.1.3",,,SA-11,,SA-11,SA-11,"SA-11 SA-11(5) SA-11(6) SA-11(7)",SA-11,,SA-11,SA-11,"SA-11(5) SA-11(6) SA-11(7)",,,SA-11,SA-11,,SA-11,,,SA-11,SA-11,SA-11,NFO - SA-11,,,,,"PO.4 PO.4.1 PO.4.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2 RV.1 RV.1.1 RV.1.2 RV.1.3 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4",,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021","6.4 6.4.4","6.2.3 6.2.3.1 6.2.4 6.5.6",,6.2.4,,,"6.2.3.1 6.2.4",,"6.2.3 6.2.3.1 6.2.4 6.5.6","6.2.3 6.2.3.1 6.2.4 6.5.6",,"I.2.5.13 I.2.5.14",,5.3.1,"5.1 6.10 12.1 12.2 12.3 12.4 13.1 13.2 15.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 15.11",,,"RISK-2.J.MIL3 ARCHITECTURE-4.H.MIL3","EXD:SG3.SP4 RTSE:SG1.SP4 RTSE:SG1.SP5 VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1 VAR:SG4.SP1",,,,,,,,,SA-11,,,,,,,,SA-11 ,,SA-11 ,SA-11 ,,SA-11,,SA-11,SA-11,,,,,,,,,,,"SA-11 SA-11(5) SA-11(6)",,,8-302,,,,,,,,SA-11 ,SA-11 ,,,,,,,,,,17.03(2)(d)(B)(i),,,,,38-99-20(D)(2)(e),,,SA-11,,SA-11,,,,"3.6.2(69) 3.6.2(70) 3.6.2(71)",,,,,,,,,,,,,,"7.7 7.8 7.9 7.10 7.11 7.12 7.13 7.14",DEV-02,,,,"11.9 17.3 17.4 17.12 17.15",,,,,,,,,,,,"1-3-1-1 1-3-2-1",TPC-72,,"1-5-3-2 1-5-3-4 1-6-3-3",1-4-1-2,,,,,8.6.2 [MP.SW.2],,,,,,,,,,,,,,,"0402 1754",,,,,,,,,,,"14.2.7 14.2.8 14.2.9",,,,,,,,"5.7.1 5.7.2 5.7.3 5.7.4 5.7.5 5.7.6 6.1.1 6.1.2 6.1.3 6.1.4 6.1.6 6.1.7",,,,,,,,"4.8 4.9",3.2.9,,,,,,,,,,,x,"NAIC MA 201 CMR 17",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Continuous Monitoring Plan,TDA-09.1,"Mechanisms exist to require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness. ",,E-TDA-03,"Does the organization require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness? ",9,Detect,,X,X,"There is no evidence of a capability to require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness. ","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to produce a plan for the continuous monitoring of cybersecurity & data privacy control effectiveness. ",,,,16.2,,16.2,16.2,,,,"SDV-07 SET-05",,,,,,,,,,,,,,,,,,,,,,,,SA-4(8),,,,SA-4(8),,,,,SA-4(8),,,,,,SA-4(8),,,,SA-4(8),SA-4(8),,,,,,"PW.2 PW.2.1",,,,,,,,,,,,,,,I.2.3.1,,,"4.1 5.1 6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9",,,,,,,,,,,,,,,,,,,,,SA-4(8) ,,SA-4(8) ,SA-4(8) ,,,,,,,,,,,,,,,,SA-4(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-4(8),,,,,,,,,,,,,,,,,,,,,,,"17.3 17.4 17.12",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.1.4,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Static Code Analysis,TDA-09.2,"Mechanisms exist to require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis. ",,E-TDA-03,"Does the organization require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis? ",9,Detect,,X,,"There is no evidence of a capability to require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis. ","SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Developers of systems, system components or services are required to employ static code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Developers of systems, system components or services are required to employ static code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to employ static code analysis tools to identify and remediate common flaws and document the results of the analysis. ",,,,16.12,,,16.12,,,,"SDV-04 SDV-07 SET-04 SET-06",,,,,,,,,,,,,,,,,,,,,"PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2",,,SA-11(1),,,,SA-11(1),,,,,SA-11(1),,,,,,,,,,,,,,,,,"PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2",,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021","6.3 6.3.1 6.3.2",6.2.4,,6.2.4,,,6.2.4,,6.2.4,6.2.4,,I.2.13.1,,,"5.1 6.10 13.1 13.2 17.1 17.2 18.1 18.2 19.1 19.2",,,ARCHITECTURE-4.H.MIL3,,,,,,,,,,SA-11(1),,,,,,,,SA-11(1) ,,SA-11(1) ,SA-11(1) ,,SA-11(1),,SA-11(1),SA-11(1),,,,,,,,,,,SA-11(1),,,,,,,,,,,,SA-11(1) ,,,,,,,,,,,,,,,,,,,,SA-11(1),,,,,,,,,,,,,,,,,,,PSS-02,,,,"17.3 17.14",,,,,,,,,,,,1-3-2-1,TPC-72,,1-6-3-3,,,,,,,,,,,,,,,,,,,,,0402,,,,,,,,,,,,,,,,,,,6.1.6,,,,,,,,,3.2.9,,,,,,,,,,,x,,x,x,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Dynamic Code Analysis ,TDA-09.3,"Mechanisms exist to require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis. ",,E-TDA-03,"Does the organization require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis? ",9,Detect,,X,,"There is no evidence of a capability to require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis. ","SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Developers of systems, system components or services are to employ dynamic code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage. ","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Developers of systems, system components or services are to employ dynamic code analysis tools to identify and remediate common flaws, documenting the results of the analysis before the application is cleared for production usage. ","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to employ dynamic code analysis tools to identify and remediate common flaws and document the results of the analysis. ",,,,16.12,,,16.12,,,,"SDV-04 SDV-07 SET-04 SET-06",,,,,,,,,,,,,,,,,,,,,"PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2",,,SA-11(8),,,,SA-11(8),,,,,SA-11(8),,,,,,,,,,,,,,,,,"PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2",,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,6.2.4,,6.2.4,,,6.2.4,,6.2.4,6.2.4,,I.2.11.8,,,"5.1 6.10 13.1 13.2 17.1 17.2",,,ARCHITECTURE-4.H.MIL3,,,,,,,,,,,,,,,,,,SA-11(8) ,,SA-11(8) ,SA-11(8) ,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-11(8) ,,,,,,,,,,,,,,,,,,,,SA-11(8),,,,,,,,,,,,,,,,,,,PSS-02,,,,"17.3 17.19",,,,,,,,,,,,1-3-2-1,TPC-72,,1-6-3-3,,,,,,,,,,,,,,,,,,,,,0402,,,,,,,,,,,,,,,,,,,6.1.6,,,,,,,,,3.2.9,,,,,,,,,,,x,,x,x,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Malformed Input Testing,TDA-09.4,"Mechanisms exist to utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",E-TDA-03,"Does the organization utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces?",7,Detect,,X,,"There is no evidence of a capability to utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.","SP-CMM1 is N/A, since a structured process is required to utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize testing methods to ensure systems, services and products continue to operate as intended when subject to invalid or unexpected inputs on its interfaces.",,,,,,,,,,,SDV-07,,,,,,,,,,,,,,,,,,,,,"PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2",,,A03:2021,,6.2.4,,6.2.4,,,6.2.4,,6.2.4,6.2.4,,1.2.13.2,,,"15.1 15.2 15.3 15.4 15.5 15.6 15.7 15.8 15.9 15.10 15.11",,,ARCHITECTURE-4.H.MIL3,,,,,,,,,,,,,,,,,"§ 11.10 § 11.10(h)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-02,,,,"17.3 17.24",,,,,,,,,,,,,TPC-72,,1-6-3-3,,,,,,,,,,,,,,,,,,,,,0402,,,,,,,,,,,,,,14.5.6.C.01,,,,,6.1.6,,,,,,,,,3.2.9,,,,,,,,,,,x,,x,x,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Application Penetration Testing,TDA-09.5,Mechanisms exist to perform application-level penetration testing of custom-made applications and services.,- NNT Change Tracker (https://www.newnettechnologies.com),E-TDA-03,Does the organization perform application-level penetration testing of custom-made applications and services?,9,Detect,,X,,There is no evidence of a capability to perform application-level penetration testing of custom-made applications and services.,"SP-CMM1 is N/A, since a structured process is required to perform application-level penetration testing of custom-made applications and services.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Security engineering, or a similar function, performs application-level penetration testing of custom-made applications and services.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Security engineering, or a similar function, performs application-level penetration testing of custom-made applications and services.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform application-level penetration testing of custom-made applications and services.",,,,16.13,,,16.13,,,"AIS-05 TVM-06","SDV-07 SET-02 SET-04 SET-06",,,,,,,,,,,,,,,,,,,,,"PW.5.2 PW.7 PW.7.1 PW.7.2 PW.8 PW.8.1 PW.8.2",,,,,,,SA-11(5),,,,,SA-11(5),,,,,,,,,,,,,,,,,"PW.2 PW.2.1 PW.8 PW.8.1 PW.8.2",,,"A01:2021 A02:2021 A03:2021 A04:2021 A05:2021 A06:2021 A07:2021 A08:2021 A09:2021 A10:2021",,6.2.4,,6.2.4,,,6.2.4,,6.2.4,6.2.4,,G.2.5,7.3A,,,,,ARCHITECTURE-4.H.MIL3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.L.A,SA-11(5),,,,,,,,,,,,,III.F.2.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-02,,,,"11.9 17.3 17.15 17.17",,,,,,,,,,,,,TPC-72,,1-6-3-3,,,,,,,,,,,,,,,,,,,,,0402,,,,,,,,,,,,,,14.5.6.C.01,,,,,6.1.6,,,,,,,,,3.2.9,,,,,,,,,,,x,,x,x,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Secure Settings By Default,TDA-09.6,Mechanisms exist to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.,,E-TDA-03,Does the organization implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise?,9,Protect,X,X,X,There is no evidence of a capability to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.,"SP-CMM1 is N/A, since a structured process is required to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.","SP-CMM2 is N/A, since a well-defined process is required to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings that would put the asset at a greater risk of compromise.",,,,16.1,,16.1,16.1,,,,,,,,,,,,,,,,,,,,,TS-1.13,,,,"PW.9 PW.9.1 PW.9.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PW.1 PW.1.3 PW.9 PW.9.1 PW.9.2",,,,,,,,,,,,,,,N.9,,,,,,ARCHITECTURE-4.C.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-4-1-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Manual Code Review,TDA-09.7,"Mechanisms exist to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.",,,"Does the organization require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design?",5,Detect,,X,X,"There is no evidence of a capability to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.","SP-CMM1 is N/A, since a structured process is required to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.","SP-CMM2 is N/A, since a well-defined process is required to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to employ a manual code review process to identify and remediate unique flaws that require knowledge of the application’s requirements and design.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-11(4),,,,SA-11(4),,,,,SA-11(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ARCHITECTURE-4.H.MIL3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-11(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Use of Live Data ,TDA-10,"Mechanisms exist to approve, document and control the use of live data in development and test environments.",,,"Does the organization approve, document and control the use of live data in development and test environments?",9,Protect,,X,X,"There is no evidence of a capability to approve, document and control the use of live data in development and test environments.","SP-CMM1 is N/A, since a structured process is required to approve, document and control the use of live data in development and test environments.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Administrative processes exist to enable the approval, documentation and controlled use of live data in development and test environments.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Administrative processes exist to enable the approval, documentation and controlled use of live data in development and test environments.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to approve, document and control the use of live data in development and test environments.",,,,,,,,,,,,,,,,,,,14.3.1 ,8.33,14.3.1 ,,"6.11.3 6.11.3.1",,,,,,,,,,,,SA-15(9),,,,SA-3(2),,,,,SA-3(2),,,,,,,,,,,,,,,,,,,,,"6.4 6.4.3",6.5.5,,,,,,,6.5.5,6.5.5,,"I.1.5 I.1.5.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2.E.6.4 SA-3(2)",,,,,,,,,,,,,,,,,,,,,,17.03(2)(d)(B)(i),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,10.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1420,,,,,,,,,,,14.3.1,,,,,,,,11.1.6,,,,,,,,,,,,,,,,,,,,x,MA 201 CMR 17,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1 R-SA-2",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Test Data Integrity,TDA-10.1,Mechanisms exist to ensure the integrity of test data through existing cybersecurity & data privacy controls.,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization ensure the integrity of test data through existing cybersecurity & data privacy controls?,8,Protect,,X,X,There is no evidence of a capability to ensure the integrity of test data through existing cybersecurity & data privacy controls.,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Technology Development & Acquisition (TDA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PR.DS-P6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.5.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,0402,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-2 R-AM-3 R-BC-2 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-SA-1 R-SA-2",,,,,,R-AM-2,R-AM-3,,R-BC-2,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Product Tampering and Counterfeiting (PTC),TDA-11,Mechanisms exist to maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components.,,,Does the organization maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components?,9,Protect,X,X,X,There is no evidence of a capability to maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components.,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function: o Ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. o Provides governance of component authenticity by developing and implementing anti-counterfeit procedures that include the means to detect and prevent counterfeit components. o Enables the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs. o Trains personnel to detect counterfeit system components, including hardware, software and firmware. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain awareness of component authenticity by developing and implementing Product Tampering and Counterfeiting (PTC) practices that include the means to detect and prevent counterfeit components.",,,,16.5,,16.5,16.5,,,,SDV-02,,,CR 3.4 (7.6.3(1)),,,,,,,,,,,,,"T1059.002, T1204.003, T1505, T1505.001, T1505.002, T1505.004, T1546.006, T1554, T1601, T1601.001, T1601.002",,,,,,,,"SA-12(10) SA-19",,,,"SR-4(3) SR-4(4) SR-10 SR-11 SR-11(3)",,"SR-10 SR-11","SR-10 SR-11","SR-10 SR-11","SR-4(3) SR-4(4) SR-11(3)",,"SR-10 SR-11","SR-10 SR-11","SR-10 SR-11",,"SR-10 SR-11 SR-11(3)","SR-10 SR-11",SR-10,SR-11,"SR-10 SR-11 SR-11(3)","SR-10 SR-11 SR-11(3)",,,,,,,,ID.RA-09,,,,,,,,,,,,,T.6,,,,,,,ADM:SG1.SP1,,,,,,,,,,,,,,,,,,,,,,"SR-10 SR-11","SR-10 SR-11","SR-10 SR-11","SR-10 SR-11","SR-10 SR-11",,,,,,,,,,"SR-10 SR-11",,,8-302,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,17.21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1790 1791 1792",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Anti-Counterfeit Training,TDA-11.1,"Mechanisms exist to train personnel to detect counterfeit system components, including hardware, software and firmware. ",,,"Does the organization train personnel to detect counterfeit system components, including hardware, software and firmware? ",6,Protect,,X,X,"There is no evidence of a capability to train personnel to detect counterfeit system components, including hardware, software and firmware. ","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function: o Ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. o Provides governance of component authenticity by developing and implementing anti-counterfeit procedures that include the means to detect and prevent counterfeit components. o Enables the implementation of tailored development and acquisition strategies, contract tools and procurement methods to meet unique business needs. o Trains personnel to detect counterfeit system components, including hardware, software and firmware. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to train personnel to detect counterfeit system components, including hardware, software and firmware. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-19(1),,,,SR-11(1),,SR-11(1),SR-11(1),SR-11(1),,,SR-11(1),SR-11(1),SR-11(1),,SR-11(1),SR-11(1),,,SR-11(1),SR-11(1),,,,,,,,,,,,,,,,,,,,,T.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SR-11(1),SR-11(1),SR-11(1),SR-11(1),SR-11(1),,,,,,,,,,SR-11(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,17.21,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Component Disposal,TDA-11.2,"[deprecated - incorporated into AST-09] Mechanisms exist to dispose of system components using organization-defined techniques and methods to prevent such components from entering the gray market. ",,,"[deprecated - incorporated into AST-09] Does the organization dispose of system components using organization-defined techniques and methods to prevent such components from entering the gray market? ",9,Protect,,X,X,"There is no evidence of a capability to [deprecated - incorporated into AST-09] dispose of system components using organization-defined techniques and methods to prevent such components from entering the gray market. ",N/A - deprecated - incorporated into AST-09,N/A - deprecated - incorporated into AST-09,N/A - deprecated - incorporated into AST-09,N/A - deprecated - incorporated into AST-09,N/A - deprecated - incorporated into AST-09,CC6.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-19(3),,,,SR-12,,SR-12,SR-12,SR-12,,,SR-12,SR-12,SR-12,3.4.14,SR-12,SR-12,,,SR-12,SR-12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MP.L1-b.1.vii,,,,,,,52.204-21(b)(1)(vii),,,,,,,,,,,,,,,,,,,,,,9.L.C,,,,,,,,,,,,,,,"45.48.500 45.48.510",,,,,,,,,,,,,,Sec. 521.052(b),,SR-12,,,,,,,,,,,Art 24,,,,,,,,,,PI-03,,,,"15.4 17.21",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1550 0311 1217 0315 1218 0312 0317 1219 1220 1221 0318 1534 1076 1222 1223 1225 1226",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Customized Development of Critical Components ,TDA-12,"Mechanisms exist to custom-develop critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable.",- OWASP,,"Does the organization custom-develop critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable?",8,Protect,,X,X,"There is no evidence of a capability to custom-develop critical system components, when COTS solutions are unavailable.","SP-CMM1 is N/A, since a structured process is required to custom-develop critical system components, when COTS solutions are unavailable.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • An application development team, or similar function, custom-develops business-critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An application development team, or similar function, custom-develops business-critical system components, when Commercial Off The Shelf (COTS) solutions are unavailable. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to custom-develop critical system components, when COTS solutions are unavailable.",,,,"16.7 16.11",,"16.7 16.11","16.7 16.11",,,,"SDV-03 SDV-05",,,,,,,,,,,,,,,,,,,,,,,,SA-20,,,,"PM-30(1) SA-20 SA-23",,,,,"PM-30(1) SA-20 SA-23",,,,,,SA-20,,,,SA-20,SA-20,,,,,,"PW.4 PW.4.1 PW.4.2 PW.4.4",,,,,,,,,,,,,,,I.1.6,,,,,,,"RISK:SG3.SP1 TM:SG1.SP1 TM:SG3.SP2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Developer Screening ,TDA-13,"Mechanisms exist to ensure that the developers of systems, applications and/or services have the requisite skillset and appropriate access authorizations.",,,"Does the organization ensure that the developers of systems, applications and/or services have the requisite skillset and appropriate access authorizations?",9,Protect,,X,X,"There is no evidence of a capability to ensure that the developers of systems, applications and/ or services have the requisite skillset and appropriate access authorizations.","SP-CMM1 is N/A, since a structured process is required to ensure that the developers of systems, applications and/ or services have the requisite skillset and appropriate access authorizations.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that the developers of systems, applications and/ or services have the requisite skillset and appropriate access authorizations.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-21,,,,"SA-21 SA-21(1)",,,,SA-21,,,,,SA-21,,"SA-21 SA-21(1)",,SA-21,,"SA-21 SA-21(1)","SA-21 SA-21(1)",,,,,"3.9.1e 3.9.2e",,,,,,6.2.2,,6.2.2,,,6.2.2,,6.2.2,6.2.2,,"E.1.3.2 E.1.3.3 E.1.3.5 ",,,,,,,AM:SG1.SP1,,,,,"TBD - 3.9.1e TBD - 3.9.2e",,,PS.L3-3.9.2e,,,,,,,,,,,,,,SA-21,,,SA-21,,,,,,,,,,,,,"CIP-004-6 R3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DEV-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Developer Configuration Management ,TDA-14,"Mechanisms exist to require system developers and integrators to perform configuration management during system design, development, implementation and operation.",,,"Does the organization require system developers and integrators to perform configuration management during system design, development, implementation and operation?",9,Protect,,X,X,"There is no evidence of a capability to require system developers and integrators to perform configuration management during system design, development, implementation and operation.","SP-CMM1 is N/A, since a structured process is required to require system developers and integrators to perform configuration management during system design, development, implementation and operation.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require system developers and integrators to perform configuration management during system design, development, implementation and operation.",,,,16.11,,16.11,16.11,,,,,,,,,,,,14.2.4 ,"8.30 8.32",14.2.4 ,,6.11.2.4,,,,"T1078, T1078.001, T1078.003, T1078.004, T1195.003, T1213.003, T1495, T1505, T1505.001, T1505.002, T1505.004, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1547.011, T1553, T1553.006, T1564.009, T1574.002, T1601, T1601.001, T1601.002",,,,,"PW.3 PW.3.1",,,SA-10,,SA-10,SA-10,SA-10,,,SA-10,SA-10,,,,SA-10,SA-10,,SA-10,,,,SA-10,SA-10,NFO - SA-10,,,,,"PW.1 PW.1.2",PR.DS-8,,,,,,,,,,,,,,"I.2.1 I.2.2",,,,,,,"TM:SG4.SP2 TM:SG4.SP3 VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1",,,,,,,,,SA-10,,,,,,,,SA-10 ,,SA-10 ,SA-10 ,,SA-10,,SA-10,SA-10,,,,,,,,,,,SA-10,,,,,,,,,,,,,,,,,,,,,,17.03(2)(d)(B)(i),,,,,,,,SA-10,,SA-10,,,,,,,,,,,,,,,,,,,DEV-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.2.4,,,,,,,,6.1.5,,,,,,,,,,,,,,,,,,,,x,MA 201 CMR 17,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Software / Firmware Integrity Verification,TDA-14.1,"Mechanisms exist to require developer of systems, system components or services to enable integrity verification of software and firmware components. ",- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,"Does the organization require developer of systems, system components or services to enable integrity verification of software and firmware components? ",8,Protect,,X,X,"There is no evidence of a capability to require developer of systems, system components or services to enable integrity verification of software and firmware components. ","SP-CMM1 is N/A, since a structured process is required to require developer of systems, system components or services to enable integrity verification of software and firmware components. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Technology Development & Acquisition (TDA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"16.5 16.11",,"16.5 16.11","16.5 16.11",,,,"CCM-06 IAM-22 IOT-03 IOT-09",SO12 ,,,,,,,,,,,,,,,,,,,PR.DS-P6,,,,SA-10(1),,,,SA-10(1),,,,,SA-10(1),,,,,,,,,,,,,,,,,"PW.4 PW.4.1 PW.4.2 PW.4.4",,,,,,,,,,,,,,,I.1.7.4,,,"11.5 11.6 11.7",,,ARCHITECTURE-4.G.MIL3,,,,,,,,,,,,,,,,,,SA-10(1) ,,SA-10(1) ,SA-10(1) ,,,,,,,,,,,,,,,,SA-10(1),,,,,,,,,,,,SA-10(1) ,,,,,,,,,,,,,,,,,,,,SA-10(1),,,,,,,,,,,,,,,,,,,,,,,17.20,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Hardware Integrity Verification,TDA-14.2,"Mechanisms exist to require developer of systems, system components or services to enable integrity verification of hardware components.",,,"Does the organization require developer of systems, system components or services to enable integrity verification of hardware components?",5,Protect,,,X,"There is no evidence of a capability to require developer of systems, system components or services to enable integrity verification of hardware components.","SP-CMM1 is N/A, since a structured process is required to require developer of systems, system components or services to enable integrity verification of hardware components.","SP-CMM2 is N/A, since a well-defined process is required to require developer of systems, system components or services to enable integrity verification of hardware components.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to require developer of systems, system components or services to enable integrity verification of hardware components.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require developer of systems, system components or services to enable integrity verification of hardware components.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-10(3),,,,SA-10(3),,,,,SA-10(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-10(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Developer Threat Analysis & Flaw Remediation,TDA-15,Mechanisms exist to require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party. ,- Security Test and Evaluation (ST&E) plan,,Does the organization require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party? ,9,Protect,,X,X,There is no evidence of a capability to require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party. ,"SP-CMM1 is N/A, since a structured process is required to require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require system developers and integrators to create a Security Test and Evaluation (ST&E) plan and implement the plan under the witness of an independent party. ",CC4.2,,,16.2,,16.2,16.2,"DSS06.04 MEA01.05",Principle 17,,"SET-04 SET-05 SET-06",,,,"PM-06-08 RQ-15-17.a RQ-15-17.b RQ-15-17.c RQ-15-17.d",,10.1,,,,,,,,,,,,,,,,A-5,,SA-11(2),,,,SA-11(2),,,,,SA-11(2),,,,,,,,,,,,,,,,,"PW.2 PW.2.1 RV.1 RV.1.1 RV.1.2 RV.1.3 RV.2 RV.2.1 RV.3 RV.3.1 RV.3.2 RV.3.3 RV.3.4",,"ID.RA-01 ID.RA-06",,6.6,"6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4 12.4.2.1 A1.2.3",6.3.1,"6.2.1 6.2.2 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4",,6.3.1,"6.2.1 6.2.2 6.2.3.1 6.2.4 6.3.1",6.3.1,"6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4","6.2.1 6.2.2 6.2.3 6.2.3.1 6.2.4 6.3.1 6.4.1 6.4.2 11.4.1 11.4.4 12.4.2.1",,I.1.7.7,,,,,,,,,,,,,,,,,,,,,,,,SA-11(2) ,,SA-11(2) ,SA-11(2) ,,SA-11(2),,SA-11(2),SA-11(2),,,,,,,,,,,,,,,,6.11,,,,,,,SA-11(2) ,,,,,,,,,,,,,,,,,,,,SA-11(2),,,,"3.6.2(68) 3.6.2(69) 3.6.2(70)",,,,Article 21.4,,,,,,,,,,,DEV-02,,,,17.13,,,,,,,,,,,,1-3-2-1,,,"1-5-3-2 1-5-3-4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.7.1,,,,,,,,6.1.6,,,,,,,,2.7,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Developer-Provided Training ,TDA-16,"Mechanisms exist to require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service.",,,"Does the organization require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service?",9,Protect,,X,X,"There is no evidence of a capability to require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service.","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Procurement contracts require system developers and integrators to provide training on the correct use and operation of the system, system component or service.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require the developers of systems, system components or services to provide training on the correct use and operation of the system, system component or service.",,,,16.1,,16.1,16.1,,,,"TRN-01 TRN-02",,,,,,,,,,,,,,,,"T1078, T1078.001, T1078.003, T1078.004, T1574.002",,,,,,,,SA-16,,,SA-16,SA-16,,,,SA-16,,,,,SA-16,,SA-16,,,,SA-16,SA-16,,,,,,,,,,,,,,,,,,,,,,,,,,,,OTA:SG3.SP1,,,,,,,,,,,,,,,,,SA-16,,,SA-16,,SA-16,,,SA-16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.1.5,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Unsupported Systems ,TDA-17,"Mechanisms exist to prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.",,E-AST-09,"Does the organization prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs?",10,Protect,,X,X,"There is no evidence of a capability to prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.","SP-CMM1 is N/A, since a structured process is required to prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • An application development team, or similar function, provides in-house support or contract external providers for support with unsupported system components. ","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An application development team, or similar function, provides in-house support or contract external providers for support with unsupported system components. ","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent unsupported systems by: ▪ Replacing systems when support for the components is no longer available from the developer, vendor or manufacturer; and ▪ Requiring justification and documented approval for the continued use of unsupported system components required to satisfy mission/business needs.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1189, T1195, T1195.001, T1195.002, T1543, T1543.002",TS-4.2,,GOVERN 1.7,,,,,SA-22,,,,SA-22,,SA-22,SA-22,SA-22,,,SA-22,SA-22,SA-22,,SA-22,SA-22,,,SA-22,SA-22,,3.16.2.a,,"A.03.16.02.a A.03.16.02.b",,"PW.4 PW.4.1 PW.4.2 PW.4.4",,ID.AM-08,A06:2021,,,,,,,,,,,,"D.25 D.26",2.2,,,,,,"EC:SG3.SP2 TM:SG5.SP1",,,,,,,,,SA-22,,,,,,,,,,,,,SA-22,SA-22,SA-22,SA-22,SA-22,,,,,,,,,,SA-22,,,8-302,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-22,,,,,,,,,,,,,,,,,,,,,,,,,12.23,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 2.7 Principle 6.7","Principle 2.9 Principle 6.7","Principle 2.9 Principle 6.8",,,"0304 1501 1704 0304 1501 1753",,,,,,,,,,,,,,12.4.7.C.01,,,,,"7.3.1 7.3.2 7.3.3",,,,,,,,"4.6 4.9",,,,,,,,,,,,x,Lockton,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Alternate Sources for Continued Support,TDA-17.1,Mechanisms exist to provide in-house support or contract external providers for support with unsupported system components. ,,,Does the organization provide in-house support or contract external providers for support with unsupported system components? ,8,Protect,,X,X,There is no evidence of a capability to provide in-house support or contract external providers for support with unsupported system components. ,"Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide in-house support or contract external providers for support with unsupported system components. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-22(1),,,,SA-22,,SA-22,SA-22,SA-22,,,SA-22,SA-22,SA-22,,SA-22,SA-22,,,SA-22,SA-22,,3.16.2.b,,"A.03.16.02.a A.03.16.02.b",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.4.3 [OP.EXT.3],,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Technology Development & Acquisition,Input Data Validation ,TDA-18,Mechanisms exist to check the validity of information inputs. ,,,Does the organization check the validity of information inputs? ,9,Protect,X,X,X,There is no evidence of a capability to check the validity of information inputs. ,"SP-CMM1 is N/A, since a structured process is required to check the validity of information inputs. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects. • An application development team, or similar function, implements a process to check the validity of information inputs. ","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • An application development team, or similar function, implements a process to check the validity of information inputs. ","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Technology Development & Acquisition (TDA) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",PI1.2,"PI1.2-POF1 PI1.2-POF2 PI1.2-POF3",,,,,,,,,,,,CR 3.5 (7.7.1),,,,,,,,,,,,,"T1021.002, T1021.005, T1036, T1036.005, T1048, T1048.001, T1048.002, T1048.003, T1059, T1059.001, T1059.002, T1059.003, T1059.004, T1059.005, T1059.006, T1059.007, T1059.008, T1071.004, T1080, T1090, T1090.003, T1095, T1127, T1129, T1176, T1187, T1190, T1197, T1204, T1204.002, T1216, T1216.001, T1218, T1218.001, T1218.002, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.010, T1218.011, T1218.012, T1218.013, T1218.014, T1219, T1220, T1221, T1498, T1498.001, T1498.002, T1499, T1499.001, T1499.002, T1499.003, T1499.004, T1530, T1537, T1546.002, T1546.006, T1546.008, T1546.009, T1546.010, T1547.004, T1547.006, T1552, T1552.005, T1553, T1553.001, T1553.003, T1553.005, T1557, T1557.001, T1557.002, T1564.003, T1564.006, T1564.009, T1570, T1572, T1574, T1574.001, T1574.006, T1574.007, T1574.008, T1574.009, T1574.012, T1599, T1599.001, T1602, T1602.001, T1602.002, T1609",,,,,,,,SI-10,,SI-10,SI-10,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,"AC-2 AC-3 SI-3 SI-4 SI-5","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,,"AC-2 AC-3 SI-3 SI-4 SI-5","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7","AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7",,,,,,,,,,,,,,,,,,,,,I.1.16,,,,,,,,,5.10.4.5,,,,,,,SI-10,,,,,,,,SI-10 ,,SI-10 ,SI-10 ,,SI-10,,SI-10,SI-10,,,,,,,,,,,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5 SI-7 SI-10",,,,,,,,,,,SI-10 ,SI-10 ,,,,,,,,,,,,,,,,,,"AC-2 AC-3 AC-5 SI-3 SI-4 SI-5",,SI-10,,,,,,,,,,,,,,,,,,,,,,,17.22,,,,,,,,,,,,,TPC-60,,,,,,,,,,,,,,,,,,,,,,,1284,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Error Handling ,TDA-19,"Mechanisms exist to handle error conditions by: ▪ Identifying potentially security-relevant error conditions; ▪ Generating error messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in error logs and administrative messages that could be exploited; and ▪ Revealing error messages only to authorized personnel.",,,"Does the organization handle error conditions by: ▪ Identifying potentially security-relevant error conditions; ▪ Generating error messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in error logs and administrative messages that could be exploited; and ▪ Revealing error messages only to authorized personnel?",9,Protect,,X,X,"There is no evidence of a capability to handle err or conditions by: ▪ Identifying potentially security-relevant err or conditions; ▪ Generating err or messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in err or logs and administrative messages that could be exploited; and ▪ Revealing err or messages only to authorized personnel.","Technology Development & Acquisition (TDA) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • IT personnel use an informal process to govern technology development and acquisition. • Secure development practices loosely conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to handle err or conditions by: ▪ Identifying potentially security-relevant err or conditions; ▪ Generating err or messages that provide information necessary for corrective actions without revealing sensitive or potentially harmful information in err or logs and administrative messages that could be exploited; and ▪ Revealing err or messages only to authorized personnel.",,,,,,,,,,,,,,CR 3.7 (7.9.1),,,,,,,,,,,,,,,,,,,,,SI-11,,SI-11,SI-11,SI-11,,,SI-11,SI-11,,,,SI-11,SI-11,,,,,,,,,,,,,,,,,,,,,,,,,,,,1.1.17,,,,,,,"AM:SG1.SP1 KIM:SG4.SP2",,,,,,,,,SI-11,,,,,,,,SI-11 ,,SI-11 ,SI-11 ,,SI-11,,SI-11,SI-11,,,,,,,,,,,SI-11,,,,,,,,,,,SI-11 ,SI-11 ,,,,,,,,,,,,,,,,,,,,SI-11,,,,,,,,,,,,,,,,,,,PSS-04,,,,17.23,,,,,,,,,,,,,TPC-61,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Access to Program Source Code ,TDA-20,Mechanisms exist to limit privileges to change software resident within software libraries. ,- Source code escrow,,Does the organization limit privileges to change software resident within software libraries? ,9,Protect,,X,X,There is no evidence of a capability to limit privileges to change software resident within software libraries. ,"SP-CMM1 is N/A, since a structured process is required to limit privileges to change software resident within software libraries. ","Technology Development & Acquisition (TDA) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Development and acquisition management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for technology development and acquisition management. • IT/cybersecurity personnel implement secure practices to protect the confidentiality, integrity, availability and safety of the organization’s technology assets, data and network(s). • Secure development practices mostly conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • Procurement practices require third-party developers of systems, system components or services to follow secure engineering practices. • A Project Management Office (PMO), or project management function, enables the implementation of cybersecurity & data privacy-related resource planning controls across the System Development Lifecycle (SDLC) for all high-value projects.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","Technology Development & Acquisition (TDA) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to limit privileges to change software resident within software libraries. ",,,,,,,,,,,,,,,,,,,"9.4.5 14.2.4","8.4 8.30","9.4.5 14.2.4",,6.6.4.5,,,,,TS-1.14,,,,"PS.1 PS.1.1",,,,,,,SA-4(2),,,SA-4(2),SA-4(2),,,,SA-4(2),SA-4(2),,,,,,,,,,,,,"PS.1 PS.1.1",,,,,,,,,,,,,,,I.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.6.2(73),,,,,,,,,,,,,,7.9,DEV-07,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1422 1816",,,,,,,,,,,"9.4.5 14.2.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Software Release Integrity Verification,TDA-20.1,Mechanisms exist to publish integrity verification information for software releases.,,,Does the organization publish integrity verification information for software releases?,6,Protect,,X,X,There is no evidence of a capability to publish integrity verification information for software releases.,"SP-CMM1 is N/A, since a structured process is required to publish integrity verification information for software releases.","SP-CMM2 is N/A, since a well-defined process is required to publish integrity verification information for software releases.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to publish integrity verification information for software releases.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to publish integrity verification information for software releases.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PS.2 PS.2.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PS.2 PS.2.1",,,,,,,,,,,,,,,I.2.5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,,,,,,,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-11 NT-12 NT-13 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,,,NT-11,NT-12,NT-13,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Archiving Software Releases,TDA-20.2,"Mechanisms exist to archive software releases and all of their components (e.g., code, package files, third-party libraries, documentation) to maintain integrity verification information.",,,"Does the organization archive software releases and all of their components (e?g?, code, package files, third-party libraries, documentation) to maintain integrity verification information?",8,Protect,,X,X,"There is no evidence of a capability to archive software releases and all of their components (e.g., code, package files, third-party libraries, documentation) to maintain integrity verification information.","SP-CMM1 is N/A, since a structured process is required to archive software releases and all of their components (e.g., code, package files, third-party libraries, documentation) to maintain integrity verification information.","SP-CMM2 is N/A, since a well-defined process is required to archive software releases and all of their components (e.g., code, package files, third-party libraries, documentation) to maintain integrity verification information.","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • Administrative processes exist and technologies are configured to archive software releases and all of its components (e.g., code, package files, third-party libraries, documentation) and maintain integrity verification information.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to archive software releases and all of their components (e.g., code, package files, third-party libraries, documentation) to maintain integrity verification information.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to archive software releases and all of their components (e.g., code, package files, third-party libraries, documentation) to maintain integrity verification information.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PS.3 PS.3.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PS.3 PS.3.1 PS.3.2",,,,,,,,,,,,,,,1.2.5.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-2 R-BC-3 R-BC-4 R-GV-1 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,,,,R-AM-3,,R-BC-2,R-BC-3,R-BC-4,,,,,,,,,R-GV-1,,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-11 NT-12 NT-13 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,,,,NT-11,NT-12,NT-13,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Technology Development & Acquisition,Software Escrow,TDA-20.3,Mechanisms exist to escrow source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support. ,,E-TDA-13,Does the organization escrow source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support? ,7,Protect,X,X,X,There is no evidence of a capability to escrow source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support. ,"SP-CMM1 is N/A, since a structured process is required to escrow source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support. ","SP-CMM2 is N/A, since a well-defined process is required to escrow source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support. ","Technology Development & Acquisition (TDA) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Secure development practices conform to industry-recognized standards for secure engineering (e.g., OWASP, NIST SP 800-218, NIST SP 800-160, etc.). • A procurement team, or similar function, ensures that third party development and/ or acquisitions meet, or exceed, the organization's business, cybersecurity & data privacy requirements to have secure and resilient systems, applications, services and processes. • A Software Assurance Maturity Model (SAMM) governs a secure development lifecycle for the development of systems, applications and services. • Administrative processes exist and technologies are configured to implement secure configuration settings by default to reduce the likelihood of software being deployed with weak security settings, putting the asset at a greater risk of compromise. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A formal Change Management (CM) program help to ensure that no unauthorized changes are made, all changes are documented, services are not disrupted and resources are used efficiently. • A Governance, Risk & Compliance (GRC) function, or similar function; o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data for technology development and acquisition. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. • A Project Management Office (PMO), or project management function, enables IAP pre-production testing of cybersecurity & data privacy controls as part of the organization’s established project management processes. • The process owner contracts a reputable third-party escrow agent to provide source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to escrow source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to escrow source code and supporting documentation to ensure software availability in the event the software provider goes out of business or is unable to provide support. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,TS-1.14,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-3-2-2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.3.4,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-GV-1 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,R-GV-1,,,,,,,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Third-Party Management ,Third-Party Management ,TPM-01,Mechanisms exist to facilitate the implementation of third-party management controls.,"- Procurement program - Contract reviews",E-TPM-03,Does the organization facilitate the implementation of third-party management controls?,10,Identify,X,X,X,There is no evidence of a capability to facilitate the implementation of third-party management controls.,"Third-Party Management (TPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized. • IT personnel use an informal process to govern third-party service providers. • IT personnel work with data/process owners to help ensure secure practices are implemented throughout the System Development Lifecycle (SDLC) for all high-value projects. • Project management is decentralized and generally lacks formal project management managers or broader oversight.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). ","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for third-party management practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for third-party management. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including third-party management. • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of third-party management controls.","CC3.3 CC9.1","CC1.1-POF5 CC1.4-POF2 CC1.4-POF3 CC2.3-POF9 CC2.3-POF10 CC9.2-POF1 CC9.2-POF2 CC9.2-POF3 CC9.2-POF4 CC9.2-POF5 CC9.2-POF6 CC9.2-POF7 CC9.2-POF8 CC9.2-POF9 CC9.2-POF10 CC9.2-POF11 CC9.2-POF12",,"15.0 15.2",,15.2,15.2,"APO10.01 APO10.02 APO10.03 APO10.04 APO10.05 DSS01.02",Principle 8,"IAM-11 SEF-02 STA-01 STA-02 STA-03 STA-07 STA-12 STA-13 UEM-14","POL-01 POL-02",SO4,,CR 3.12 (7.14),"RQ-06-10 RQ-07-01",,,,15.1.1 ,"5.19 5.20 8.30",15.1.1 ,,"6.12 6.12.1 6.12.1.1",,,,,OR-3.4,Sec 4(F)(1),MANAGE 3.0,GV.PO-P4,"PW.3 PW.3.1",,,SA-4,SA-4,SA-4,SA-4,"SA-4 SR-1",SA-4,"SA-4 SR-1","SA-4 SR-1","SA-4 SR-1",,,"SA-4 SR-1","SA-4 SR-1","SA-4 SR-1",,"SA-4 SR-1","SA-4 SR-1",,"SA-4 SR-1","SA-4 SR-1","SA-4 SR-1",NFO - SA-4,"3.1.20.a 3.1.20.b 3.1.20.c.1 3.1.20.c.2 3.1.20.d 3.16.1 3.16.3.a 3.16.3.b 3.16.3.c",,A.03.17.03.ODP[01],,,"ID.BE-1 ID.SC-1 ID.SC-3","GV.SC GV.SC-01 GV.SC-03 GV.SC-09 ID.RA","A02:2021 A05:2021",12.8,"8.2.3 12.8 12.8.1 12.9 12.9.1 12.9.2 A2.1.3",12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,"8.2.3 12.8.1 12.9.1 12.9.2 A2.1.3",12.8.1,B.1.1.1,2.8A,"1.2.4 1.3.3 6.1.1",12.1,7.2.2.5,7.2.2.5,"RISK-2.J.MIL3 THIRD-PARTIES-2.A.MIL1 THIRD-PARTIES-2.B.MIL1 THIRD-PARTIES-2.C.MIL2 THIRD-PARTIES-2.D.MIL2 THIRD-PARTIES-2.E.MIL2 THIRD-PARTIES-2.F.MIL2 THIRD-PARTIES-2.G.MIL2 THIRD-PARTIES-2.H.MIL3 THIRD-PARTIES-2.I.MIL3 THIRD-PARTIES-2.J.MIL3 THIRD-PARTIES-2.K.MIL3 THIRD-PARTIES-2.L.MIL3 THIRD-PARTIES-2.M.MIL3","EXD:SG3.SP4 OPD:SG1.SP6 RTSE:SG1.SP1 RTSE:SG1.SP2 RTSE:SG1.SP3 RTSE:SG1.SP4 RTSE:SG1.SP5","5.6 6.1 6.2",,,,,,,,SA-4,,"252.204-7012(m)(1) 252.204-7012(m)(2)(i) 252.204-7012(m)(2)(ii) 252.204-7019(b) 252.204-7019(c)(1) 252.204-7019(c)(2) 252.204-7020(c) 252.204-7021(b) 252.204-7021(c)(1) 252.204-7021(c)(2)",,52.204-21(c),52.204-27(b),,,SA-4,SA-4,SA-4,SA-4,SA-4,"SA-4 SR-1","SA-4 SR-1","SA-4 SR-1","SA-4 SR-1","SA-4 SR-1",,,,,"314.4(a) 314.4(a)(1) 314.4(a)(2) 314.4(a)(3) 314.4(e)(2) 314.4(f)(1) 314.4(f)(2) 314.4(f)(3)","164.308(b) 164.308(b)(1) 164.308(b)(2)",,,9.L.C,"2.C.8 2.C.8.1 2.C.8.2 SA-4 SR-1",,,,"15.1 15.2 15.3 15.4 16.2",,,,,,,,,,,,,,"6-1-1305(6) 6-1-1305(7)",,,,,,500.11,Sec 4(2)(b)(ii)(A)(5),,38-99-20(F)(1),,,"SA-4 SR-1",SA-4,SA-4,,,"§ 2447(b)(6) § 2447(b)(6)(A) § 2447(b)(6)(B)","3.2.3(7) 3.6.2(74)",,,"Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10 Art 32.1 Art 32.2","Article 21.2(d) Article 21.2(e) Article 21.3",,,"Sec 14 Sec 15",Art 16,,Art 42,,,,9.1,"SSO-01 SSO-03",,,,"11.3 11.10 16.1 17.3",,,,,,,,,,,,4-1,,"3.4.1 3.4.2","1-5-3-3 4-1-1 4-1-2 4-1-3 4-1-4","4-1 4-1-1 4-1-1-1 4-1-1-2 4-1-1-3 4-1-1-4 4-1-2",,,"Sec 20 Sec 21",,7.4.1 [OP.EXT.1],,,,,A4.a,A4,,,,,,,,,"1073 1785",,"15 47 48(a) 48(b) 48(c) 57","16 20 22 28",,,"Article 20 Article 21 Article 38(3) Article 42 Article 51 Article 51(1) Article 51(2) Article 51(3) Article 51(4) Article 51(5) Article 51(6)",,,,"Article 22 Article 23(1)(i) Article 23(1)(ii) Article 23(1)(iii) Article 23(1)(iv) Article 23(2) Article 23(2)(i) Article 23(2)(ii) Article 23(2)(iii) Article 23(2)(iv) Article 23(2)(v) Article 23(2)(vi) Article 23(2)(vii) Article 23(2)(viii) Article 23(3) Article 23(4) Article 23(5)(i) Article 23(5)(ii) Article 23(5)(iii) Article 23(6) Article 23(1) Article 24(3)","15.1.1 15.1.1.14.B 15.1.1.16.B 15.1.2.18.PB",,16.1,"2.2.6.C.01 2.2.6.C.02 23.2.19.C.01",,,,,"3.4.1 3.4.2 3.4.3 9.1.8",,,,,,5.10,,"2.3 4.25",,,,,,,,,,,,x,"FAR 52.204-21 NAIC",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16,- updated DFARS mapping Third-Party Management ,Third-Party Inventories ,TPM-01.1,"Mechanisms exist to maintain a current, accurate and complete list of External Service Providers (ESPs) that can potentially impact the Confidentiality, Integrity, Availability and/or Safety (CIAS) of the organization's systems, applications, services and data.",,"E-AST-06 E-DCH-06","Does the organization maintain a current, accurate and complete list of External Service Providers (ESPs) that can potentially impact the Confidentiality, Integrity, Availability and/or Safety (CIAS) of the organization's systems, applications, services and data?",8,Identify,,X,X,"There is no evidence of a capability to maintain a current, accurate and complete list of Third-Party Service Providers (TSP) that can potentially impact the Confidentiality, Integrity, Availability and/ or Safety (CIAS) of the organization's systems, applications, services and data.","SP-CMM1 is N/A, since a structured process is required to maintain a current, accurate and complete list of Third-Party Service Providers (TSP) that can potentially impact the Confidentiality, Integrity, Availability and/ or Safety (CIAS) of the organization's systems, applications, services and data.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to maintain a current, accurate and complete list of Third-Party Service Providers (TSP) that can potentially impact the Confidentiality, Integrity, Availability and/ or Safety (CIAS) of the organization's systems, applications, services and data.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain a current, accurate and complete list of Third-Party Service Providers (TSP) that can potentially impact the Confidentiality, Integrity, Availability and/ or Safety (CIAS) of the organization's systems, applications, services and data.",,,,15.1,15.1,15.1,15.1,,,,,,,,,,,,,5.19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SR-13,,,,SR-13,SR-13,,3.7.6.b,,,,,,"GV.SC-04 ID.AM-04",,,"12.8 12.8.1",12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,"K.3.1 K.3.2 K.3.7",,,,7.2.2.5,7.2.2.5,THIRD-PARTIES-1.B.MIL1,,,,,,,,,,,,252.204-7018(c),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 28.1 Art 28.1(a) Art 28.1(b) Art 28.1(b)(i) Art 28.1(b)(ii) Art 28.2 Art 28.3 Art 28.4(a) Art 28.4(b) Art 28.4(c) Art 28.4(d) Art 28.4(e) Art 28.5 Art 28.6 Art 28.7(a) Art 28.7(b) Art 28.7(c) Art 28.7(d) Art 28.8 Art 28.8(a) Art 28.8(b) Art 28.8(c)",,,Article 21.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A4.a,,,,,,,,,,"1631 1786 1736 1737 1637 1638",,49,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- updated DFARS mapping Third-Party Management ,Third-Party Criticality Assessments,TPM-02,"Mechanisms exist to identify, prioritize and assess suppliers and partners of critical systems, components and services using a supply chain risk assessment process relative to their importance in supporting the delivery of high-value services.",- Data Protection Impact Assessment (DPIA),E-TPM-02,"Does the organization identify, prioritize and assess suppliers and partners of critical systems, components and services using a supply chain risk assessment process relative to their importance in supporting the delivery of high-value services?",9,Identify,X,X,X,"There is no evidence of a capability to identify, prioritize and assess suppliers and partners of critical systems, components and services using a supply chain risk assessment process relative to their importance in supporting the delivery of high-value services.","SP-CMM1 is N/A, since a structured process is required to identify, prioritize and assess suppliers and partners of critical systems, components and services using a supply chain risk assessment process relative to their importance in supporting the delivery of high-value services.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, prioritize and assess suppliers and partners of critical systems, components and services using a supply chain risk assessment process relative to their importance in supporting the delivery of high-value services.",CC9.1,,,15.3,,15.3,15.3,APO10.04,,STA-07,,,,,,,,,,5.19,,,,,,,"T1195.003, T1495, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1553, T1553.006, T1601, T1601.001, T1601.002",,,,ID.BE-P3,,,,SA-14,,,,"PM-30(1) RA-9",,,RA-9,RA-9,PM-30(1),,,RA-9,RA-9,,RA-9,,RA-9,RA-9,RA-9,RA-9,,3.17.3.a,,,,,"ID.BE-1 ID.SC-2","GV.OC-04 GV.SC-04 GV.SC-07",,,,,,,,,,,,,B.1.1.1,2.8A,1.3.3,12.1,"7.2.2.5 7.3.2 7.3.3","7.2.2.5 7.3.2 7.3.3","THIRD-PARTIES-1.C.MIL2 THIRD-PARTIES-1.D.MIL2 THIRD-PARTIES-1.E.MIL2 THIRD-PARTIES-1.F.MIL3 THIRD-PARTIES-2.A.MIL1 THIRD-PARTIES-2.B.MIL1 THIRD-PARTIES-2.C.MIL2 THIRD-PARTIES-2.D.MIL2 THIRD-PARTIES-2.E.MIL2 THIRD-PARTIES-2.F.MIL2 THIRD-PARTIES-2.G.MIL2 THIRD-PARTIES-2.H.MIL3 THIRD-PARTIES-2.I.MIL3 THIRD-PARTIES-2.J.MIL3 THIRD-PARTIES-2.K.MIL3 THIRD-PARTIES-2.L.MIL3 THIRD-PARTIES-2.M.MIL3","EXD:SG1.SP2 RTSE:SG2.SP1 RTSE:SG2.SP2 RTSE:SG3.SP1 RTSE:SG3.SP2 TM:SG1.SP1",,,,,,,,,,,,,,,,,,,,,,RA-9,,RA-9,RA-9,,,D1.G.SP.A.3,,,314.4(f)(1),,,,9.L.C,,,,"8-302 8-311",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 8.4,,,Article 21.3,,,,,,,,,,,"SSO-02 SSO-03",,,,"16.1 16.6",,,,,,,,,,,,4-1-1-1,,,,4-1-1-2,,,,,,,,,,A4.a,A4,,,,,,,,,1452,,"50(a) 50(b) 50(c) 50(d) 52",21(b),,,,,,,,"15.1.1.16.B 15.1.2.18.PB",,,12.7.17.C.01,,,,,,,,,,,,,"2.3 4.27",,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Supply Chain Protection,TPM-03,Mechanisms exist to evaluate security risks associated with the services and product supply chain. ,- Data Protection Impact Assessment (DPIA),E-RSK-02,Does the organization evaluate security risks associated with the services and product supply chain? ,9,Identify,X,X,X,There is no evidence of a capability to evaluate security risks associated with the services and product supply chain. ,"SP-CMM1 is N/A, since a structured process is required to evaluate security risks associated with the services and product supply chain. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to evaluate security risks associated with the services and product supply chain. ",CC9.1,"CC1.1-POF5 CC3.2-POF7 CC9.2-POF1 CC9.2-POF2 CC9.2-POF3 CC9.2-POF4 CC9.2-POF5 CC9.2-POF6 CC9.2-POF7 CC9.2-POF8 CC9.2-POF9 CC9.2-POF10 CC9.2-POF11 CC9.2-POF12",,,,,,APO10.04,,"IAM-11 STA-02 STA-03 STA-13",POL-02,SO10,,CR 3.12 (7.14),RQ-07-01,,,,15.1.3 ,"5.19 5.21 5.22 8.30",15.1.3 ,,6.12.1.3,,,,,OR-3.4,Sec 4(F)(1),,,"PW.3 PW.3.1",,,SA-12,,,SA-12,"SR-2 SR-2(1)",,"SR-2 SR-2(1)","SR-2 SR-2(1)","SR-2 SR-2(1)",,,"SR-2 SR-2(1)","SR-2 SR-2(1)","SR-2 SR-2(1)",,SR-2,SR-2,,,,SR-2,,"3.17.1.a 3.17.3.a 3.17.3.b",,,,,"ID.SC-3 ID.SC-4 ","GV.SC-01 GV.SC-07","A02:2021 A05:2021",,,,,,,,,,,,B.1.1.17,2.8A,"1.2.4 1.3.3","12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8",7.2.2.5,7.2.2.5,"THIRD-PARTIES-1.E.MIL2 THIRD-PARTIES-2.A.MIL1 THIRD-PARTIES-2.B.MIL1 THIRD-PARTIES-2.C.MIL2 THIRD-PARTIES-2.D.MIL2 THIRD-PARTIES-2.E.MIL2 THIRD-PARTIES-2.F.MIL2 THIRD-PARTIES-2.G.MIL2 THIRD-PARTIES-2.H.MIL3 THIRD-PARTIES-2.I.MIL3 THIRD-PARTIES-2.J.MIL3 THIRD-PARTIES-2.K.MIL3 THIRD-PARTIES-2.L.MIL3 THIRD-PARTIES-2.M.MIL3","EXD:SG3.SP1 EXD:SG3.SP2 EXD:SG3.SP3 EXD:SG3.SP4 EXD:SG4.SP1 EXD:SG4.SP2 RTSE:SG2.SP1 RTSE:SG2.SP2 RTSE:SG3.SP1 RTSE:SG3.SP2",,,,,,,,,,,,,,,,,SA-12,,,SA-12,,SR-2(1),SR-2(1),SR-2(1),SR-2(1),SR-2(1),,,,,314.4(f)(1),,5.S.B,5.M.B,"5.M.B 9.L.C","SR-2 SR-2(1)",,,,,,,,,,,,,,,,,,,,,,,,,,,38-99-20(F)(1),,,SR-2,,,,,"§ 2447(b)(6) § 2447(b)(6)(A) § 2447(b)(6)(B)",3.6.2(74),,,"Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10","Article 21.2(d) Article 21.3",,,,,,Art 42,,,,,"SSO-02 SSO-02 SSO-03",,,,"11.3 16.1 16.3 16.5 17.3 17.11",,,,,,,,Art 31,Art 18,,,"4-1-1-1 4-1-1-2",,3.4.2,,,,,Sec 20,"Art 20 Art 21","7.4.1 [OP.EXT.1] 7.4.3 [OP.EXT.3]",,,,,A4.a,,,,,,,,,,"0731 1452 1632 1789",,,"22 28",,,,,,Art 6,,"15.1.1.16.B 15.1.2.18.PB 15.1.3",,,"12.7.14.C.01 12.7.14.C.02 12.7.14.C.03 12.7.15.C.01 12.7.15.C.02 12.7.16.C.01 12.7.16.C.02 12.7.16.C.03 12.7.17.C.01 12.7.18.C.01 12.7.18.C.02 12.7.19.C.01 12.7.19.C.02 12.7.20.C.01 12.7.20.C.02 12.7.20.C.03 12.7.20.C.04 12.7.20.C.05 12.7.21.C.01",,"Sec 25 Sec 43",,,"3.4.1 3.4.2",,,,,,,,"2.3 4.25",,,,,,Art 21,,,,,,x,NAIC,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,"Acquisition Strategies, Tools & Methods",TPM-03.1,"Mechanisms exist to utilize tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services.",- Data Protection Impact Assessment (DPIA),,"Does the organization utilize tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services?",9,Identify,X,X,X,"There is no evidence of a capability to utilize tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services.","SP-CMM1 is N/A, since a structured process is required to utilize tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services.","CC3.3 CC9.1",,,,,,,,Principle 8,STA-05,,,,,,,,,,"5.21 5.22",,,,,,,"T1059.002, T1204.003, T1505, T1505.001, T1505.002, T1505.004, T1546.006, T1554, T1601, T1601.001, T1601.002",,Sec 4(F)(1),,,,,,SA-12(1),,,,"SR-5 SR-3(1)",,SR-5,SR-5,SR-5,SR-3(1),,SR-5,SR-5,SR-5,,"SR-5 SR-3(1)",SR-5,,SR-5,"SR-5 SR-3(1)","SR-5 SR-3(1)",,"3.17.1.a 3.17.2 3.17.3.a 3.17.3.b",,,,,,"GV.SC-05 GV.SC-06",,,,,,,,,,,,,B.1.1.24,,,,7.2.2.5,7.2.2.5,"THIRD-PARTIES-1.E.MIL2 THIRD-PARTIES-2.A.MIL1 THIRD-PARTIES-2.B.MIL1 THIRD-PARTIES-2.C.MIL2 THIRD-PARTIES-2.D.MIL2 THIRD-PARTIES-2.E.MIL2 THIRD-PARTIES-2.F.MIL2 THIRD-PARTIES-2.G.MIL2 THIRD-PARTIES-2.H.MIL3 THIRD-PARTIES-2.I.MIL3 THIRD-PARTIES-2.J.MIL3 THIRD-PARTIES-2.K.MIL3 THIRD-PARTIES-2.L.MIL3 THIRD-PARTIES-2.M.MIL3",,,,,,,,,,,,,,,,,,,,,,,SR-5,SR-5,SR-5,SR-5,SR-5,,,,,,,,,9.L.C,,,,,,,,,,,,,,,,,,,,,,,,,,,,38-99-20(F)(1),,,SR-5,,,,,,3.6.2(74),,,,Article 21.3,,,,,,,,,,9.3,SSO-05,,,,16.1,,,,,,,,,,,,"4-1-1-1 4-1-1-2",,,,,,,,,,,,,,A4.a,,,,,,,,,,"1567 1568 1632 1788 1789 1743",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,NAIC,,,"R-AM-3 R-BC-1 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-4 R-GV-5",,,,,,,R-AM-3,R-BC-1,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,,R-GV-4,R-GV-5,,,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Limit Potential Harm,TPM-03.2,Mechanisms exist to utilize security safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. ,"- Data Protection Impact Assessment (DPIA) - Liability clause in contracts",,Does the organization utilize security safeguards to limit harm from potential adversaries who identify and target the organization's supply chain? ,9,Identify,,X,X,There is no evidence of a capability to utilize security safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. ,"SP-CMM1 is N/A, since a structured process is required to utilize security safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize security safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. ",CC9.1,"P6.4-POF2 P6.5-POF1 P6.5-POF2 P6.6-POF1",,15.4,,15.4,15.4,,,STA-13,RSM-03,,,,RQ-07-01,,,,,"5.19 5.20",,,,,,,,OR-3.4,,,,,,,SA-12(5),,,,SR-3(2),,,,,SR-3(2),,,,,,,,,,,,,"3.17.3.a 3.17.3.b",,,,,,"GV.SC-05 GV.SC-06",,,,,,,,,,,,,"T.2 T.2.1",,,,7.2.2.5,7.2.2.5,THIRD-PARTIES-1.E.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,314.4(f)(1),,,,9.L.C,SR-3(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 21.3,,,,,,,,,,,SSO-02,,,,"11.3 16.2",,,,,,,,,,,,"4-1-1-1 4-1-1-2",,,,,,,,,,,,,,A4.a,,,,,,,,,,1567,,"56(a) 56(b) 56(c) 56(d)",22,,,Article 20,,,,,,,,,,,,,"3.4.1 3.4.2",,,,,,,,"2.3 4.25",,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Processes To Address Weaknesses or Deficiencies,TPM-03.3,Mechanisms exist to address identified weaknesses or deficiencies in the security of the supply chain ,- Data Protection Impact Assessment (DPIA),,Does the organization address identified weaknesses or deficiencies in the security of the supply chain ,9,Identify,X,X,X,There is no evidence of a capability to address identified weaknesses or deficiencies in the security of the supply chain ,"SP-CMM1 is N/A, since a structured process is required to address identified weaknesses or deficiencies in the security of the supply chain ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address identified weaknesses or deficiencies in the security of the supply chain ",CC9.1,,,,,,,APO10.04,,,,,,,RQ-07-06,,,,,"5.19 5.22",,,,,,,,,,,,,,,SA-12(15),,,,SR-3,,SR-3,SR-3,SR-3,,,SR-3,SR-3,SR-3,,SR-3,SR-3,,SR-3,SR-3,SR-3,,"3.17.3.a 3.17.3.b",,,,,,"GV.SC-05 GV.SC-06 GV.SC-07",,,,,,,,,,,,,T.2.2,,,"12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8",7.2.2.5,7.2.2.5,,EXD:SG2.SP2,,,,,,,,,,,,,,,,,,,,,,SR-3,SR-3,SR-3,SR-3,SR-3,,,,,,,,,,SR-3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SR-3,,,,,,,,,,Article 21.3,,,,,,,,,,,SSO-02,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A4.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Adequate Supply,TPM-03.4,Mechanisms exist to develop and implement a spare parts strategy to ensure that an adequate supply of critical components is available to meet operational needs. ,,,Does the organization develop and implement a spare parts strategy to ensure that an adequate supply of critical components is available to meet operational needs?,9,Protect,x,x,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SR-5(1),,,,,SR-5(1),,,SR-5(1),SR-5(1),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16,- new control for NIST 800-53 R5 SR-5(1) Third-Party Management ,Third-Party Services ,TPM-04,Mechanisms exist to mitigate the risks associated with third-party access to the organization’s systems and data.,"- Conduct an organizational assessment of risk prior to the acquisition or outsourcing of services. - Maintain and implement policies and procedures to manage service providers (e.g., Software-as-a-Service (SaaS), web hosting companies, collocation providers, or email providers), through observation, review of policies and procedures and review of supporting documentation. - Maintain a program to monitor service providers’ control compliance status at least annually. - Require providers of external system services to comply with organizational security requirements and employ appropriate security controls in accordance with applicable statutory, regulatory and contractual obligations. - Define and document oversight and user roles and responsibilities with regard to external system services. - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)",E-CPL-06,Does the organization mitigate the risks associated with third-party access to the organization’s systems and data?,10,Identify,X,X,,There is no evidence of a capability to mitigate the risks associated with third-party access to the organization’s systems and data.,"SP-CMM1 is N/A, since a structured process is required to mitigate the risks associated with third-party access to the organization’s systems and data.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to mitigate the risks associated with third-party access to the organization’s systems and data.",CC3.3,,,"15.4 15.5",,15.4,"15.4 15.5",,Principle 8,"IAM-11 STA-02 UEM-14","POL-01 POL-02",,,,RQ-07-01,,,,"14.2.7 15.1.1 ","5.19 8.30","14.2.7 15.1.1 ",,"6.11.2.7 6.12 6.12.1 6.12.1.1",,,,"T1041, T1048, T1048.002, T1048.003, T1567",OR-3.4,,,,,,,SA-9,SA-9,SA-9,SA-9,SA-9,SA-9,SA-9,SA-9,SA-9,,,SA-9,SA-9,SA-9,,,,,,,,NFO -SA-9,"3.16.3.a 3.16.3.b 3.16.3.c 3.17.2 3.17.3.a 3.17.3.b",,,,,ID.SC-2,GV.SC-05,"A02:2021 A05:2021","12.8.2 12.8.4","8.2.3 12.8.2 12.9 12.9.1 12.9.2",12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,"8.2.3 12.8.3 12.9.1 12.9.2",12.8.2,"T.2.3 T.3 T.3.1 T.4 T.5",,"1.2.4 1.3.3 8.2.2","12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8",7.2.2.5,7.2.2.5,"THIRD-PARTIES-1.B.MIL1 THIRD-PARTIES-1.E.MIL2","EXD:SG3.SP4 EXD:SG4.SP1",,,,,,,,,SA-9,,,,,,,,SA-9 ,SA-9 ,SA-9 ,SA-9 ,SA-9 ,SA-9,SA-9,SA-9,SA-9,SA-9,,,,,"314.4(f)(1) 314.4(f)(2) 314.4(f)(3)",,,,9.L.C,"2.C.8 2.C.10 SA-9",,,8-700,,,,,,,SA-9 ,SA-9 ,SA-9 ,,,,,,,,,,17.03(2)(f)(1),,,,622(2)(d)(A)(v),,,,SA-9,SA-9,SA-9,,,,,,,,Article 21.3,,,,,,,,,,9.2,SSO-05,,,,"11.3 16.1 22.4",,,,,,,,,,,,"4-1-1-1 4-1-1-2",,,,4-1-1-3,,,Sec 19,,,,,,,A4.a,A4,,,,,,,,,1569,,,"16 22 28",,,"Article 20 Article 21 Article 38(3)",,,,"Article 22 Article 23(1)(i) Article 23(1)(ii) Article 23(1)(iii) Article 23(1)(iv) Article 23(2) Article 23(2)(i) Article 23(2)(ii) Article 23(2)(iii) Article 23(2)(iv) Article 23(2)(v) Article 23(2)(vi) Article 23(2)(vii) Article 23(2)(viii) Article 23(3) Article 23(4) Article 23(5)(i) Article 23(5)(ii) Article 23(5)(iii) Article 23(6) Article 23(1)","14.2.7 15.1.1 15.1.1.14.B",,,,,,,,,,,,Art 25.1,,,,"2.3 4.25",,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Third-Party Risk Assessments & Approvals,TPM-04.1,Mechanisms exist to conduct a risk assessment prior to the acquisition or outsourcing of technology-related services.,"- Conduct an organizational assessment of risk prior to the acquisition or outsourcing of services. - Maintain a list of service providers. - Maintain and implement controls to manage security providers (e.g., backup tape storage facilities or security service providers), through observation, review of policies and procedures and review of supporting documentation. - Maintain a written agreement that includes an acknowledgment that service providers are responsible for the security of data the service providers possess. - Maintain a program to monitor service providers’ control compliance status, at least annually. - Require that providers of external services comply with organizational digital security requirements and utilize appropriate security controls in accordance with all applicable laws and regulatory requirements.",,Does the organization conduct a risk assessment prior to the acquisition or outsourcing of technology-related services?,9,Identify,,X,X,There is no evidence of a capability to conduct a risk assessment prior to the acquisition or outsourcing of technology-related services.,"SP-CMM1 is N/A, since a structured process is required to conduct a risk assessment prior to the acquisition or outsourcing of technology-related services.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct a risk assessment prior to the acquisition or outsourcing of technology-related services.","CC3.4 CC9.2",CC9.2-POF2,,15.5,,,15.5,APO10.04,Principle 9,"STA-05 STA-13",,,,,"RQ-07-01 RQ-07-02",,,,,5.19,,,,,,,,,,MANAGE 3.1,ID.DE-P5,,,,SA-9(1),,,,SA-9(1),,,,,SA-9(1),,,,,,SA-9(1),,,,SA-9(1),SA-9(1),,"3.17.2 3.17.3.a 3.17.3.b",,A.03.17.03.a,,,ID.SC-2,"GV.SC-05 GV.SC-06","A02:2021 A05:2021","2.4 12.8 12.8.1 12.8.2 12.8.3 12.8.4",12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,12.8.3,12.8.2,B.1.1.1,,"1.3.3 8.2.2","12.1 12.2 12.3 12.4 12.5 12.6 12.7 12.8","7.2.2.5 7.3.2","7.2.2.5 7.3.2","RISK-2.J.MIL3 THIRD-PARTIES-1.C.MIL2 THIRD-PARTIES-2.A.MIL1 THIRD-PARTIES-2.B.MIL1 THIRD-PARTIES-2.C.MIL2 THIRD-PARTIES-2.D.MIL2 THIRD-PARTIES-2.E.MIL2 THIRD-PARTIES-2.F.MIL2 THIRD-PARTIES-2.G.MIL2 THIRD-PARTIES-2.H.MIL3 THIRD-PARTIES-2.I.MIL3 THIRD-PARTIES-2.J.MIL3 THIRD-PARTIES-2.K.MIL3 THIRD-PARTIES-2.L.MIL3 THIRD-PARTIES-2.M.MIL3",EXD:SG2.SP1,5.6,,,,,,,,SA-9(1),,,,,,,,SA-9(1) ,,SA-9(1) ,SA-9(1) ,,SA-9(1),,SA-9(1),SA-9(1),,,,,,"314.4(f)(1) 314.4(f)(3)",,,,9.L.C,SA-9(1),,,,,,,,,,,SA-9(1) ,SA-9(1) ,,,,,,,,,,17.03(2)(f)(2),,,,622(2)(d)(A)(v),,,,,,SA-9(1),,,"§ 2447(b)(6) § 2447(b)(6)(A) § 2447(b)(6)(B)",3.6.2(74),"Art 28.4(a) Art 28.4(b) Art 28.4(c) Art 28.4(d) Art 28.4(e) Art 29.1(a) Art 29.1(b)",,,Article 21.3,,,,,,,,,,"9.2 9.5","SSO-02 SSO-04",,,,"16.3 16.5 17.3",,,,,,,,,,,,"4-1-1-1 4-1-1-2",,"3.4.1 3.4.2","1-5-3-4 4-1-3-1","4-1-1-2 4-1-1-4",,,Sec 19,,,,,,,A4.a,A4,,,,,,,,,"1568 1573 1787",,"15 53(a) 53(b)","22 28",,,,,,,,,,,,,,,,,,,,,,,,"2.3 4.25 4.27",,,,,,,,,,,,x,"MA 201 CMR 17 OR 6464A",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,"External Connectivity Requirements - Identification of Ports, Protocols & Services",TPM-04.2,"Mechanisms exist to require External Service Providers (ESPs) to identify and document the business need for ports, protocols and other services it requires to operate its processes and technologies.",,"E-CPL-06 E-TDA-07","Does the organization require External Service Providers (ESPs) to identify and document the business need for ports, protocols and other services it requires to operate its processes and technologies?",7,Identify,,X,X,"There is no evidence of a capability to require Third-Party Service Providers (TSP) to identify and document the business need for ports, protocols and other services it requires to operate its processes and technologies.","SP-CMM1 is N/A, since a structured process is required to require Third-Party Service Providers (TSP) to identify and document the business need for ports, protocols and other services it requires to operate its processes and technologies.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to require Third-Party Service Providers (TSP) to identify and document the business need for ports, protocols and other services it requires to operate its processes and technologies.",,,,12.6,,12.6,12.6,,,"STA-05 UEM-14",,,,,,,,,,,,,,,,,,,,,,,,,SA-9(2),,SA-9(2),SA-9(2),SA-9(2),,,SA-9(2),SA-9(2),,,,SA-9(2),SA-9(2),,,,,,,,NFO - SA-9(2),,,,,,,,"A02:2021 A05:2021",,1.2.5,,1.2.5,,1.2.5,,,1.2.5,1.2.5,,,,,,,,,,,,,,,,,,SA-9(2),,,,,,,,SA-9(2,,SA-9(2,SA-9(2,,SA-9(2,,SA-9(2,SA-9(2,,,,,,,,,,9.L.C,SA-9(2),,,,,6.4,,,,,,SA-9(2,SA-9(2,,,,,,,,,,,,,,,,,,,,SA-9(2),,,,,,,,,,,,,,,,,,,,,,,16.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Third-Party Management ,Conflict of Interests,TPM-04.3,Mechanisms exist to ensure that the interests of external service providers are consistent with and reflect organizational interests.,- Third-party contract requirements for cybersecurity controls,,Does the organization ensure that the interests of external service providers are consistent with and reflect organizational interests?,8,Identify,,,X,There is no evidence of a capability to ensure that the interests of third-party service providers are consistent with and reflect organizational interests.,"Third-Party Management (TPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized. • IT personnel use an informal process to govern third-party service providers.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure that the interests of third-party service providers are consistent with and reflect organizational interests.",CC3.3,,,,,,,,Principle 8,,,,,,"RQ-07-01 RQ-07-07",,,,,5.19,,,,,,,,,,,,,,,SA-9(4),,,,SA-9(4),,,,,SA-9(4),,,,,,SA-9(4),,,,,SA-9(4),,,,,,,,"GV.SC-05 GV.SC-06",,,,,,,,,,,,,"K.3.10 K.3.10.1 K.3.10.2 K.3.10.3",,"1.3.3 8.2.2",,,,THIRD-PARTIES-1.E.MIL2,,,,,,,,,,,,,,,,,,SA-9(4) ,,SA-9(4) ,SA-9(4) ,,,,,,,,,,,,,,,9.L.C,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-9(4),,,,,,,,,,,,,,,,,,,,,,,16.3,,,,,,,,,,,,,,,,,,,"Sec 20 Sec 21",,,,,,,A4.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,"Third-Party Processing, Storage and Service Locations",TPM-04.4,Mechanisms exist to restrict the location of information processing/storage based on business requirements. ,,E-AST-23,Does the organization restrict the location of information processing/storage based on business requirements? ,10,Identify,,,X,There is no evidence of a capability to restrict the location of information processing/storage based on business requirements. ,"SP-CMM1 is N/A, since a structured process is required to restrict the location of information processing/storage based on business requirements. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to restrict the location of information processing/storage based on business requirements. ",CC9.1,,,,,,,APO10.03,,,POL-02,,,,RQ-07-01,,,,,5.21,6.1.3,,,,,,,OR-3.4,,,,,,,SA-9(5),,,,"PE-23 SA-9(5)",,,,,"PE-23 SA-9(5)",,,,,,SA-9(5),,,,,SA-9(5),,,,,,,,"GV.SC-05 GV.SC-06","A02:2021 A05:2021",12.9,"3.2.1 12.5.2",3.2.1,3.2.1,,,,,"3.2.1 12.5.2","3.2.1 12.5.2",3.2.1,D.3.1,2.8A,,,,,"THIRD-PARTIES-1.E.MIL2 THIRD-PARTIES-1.F.MIL3",,,,,,,,,,SA-9(5),,,,,,,,SA-9(5) ,,SA-9(5) ,SA-9(5) ,,SA-9(5),,SA-9(5),SA-9(5),,,,,,314.4(f)(1),,,,9.L.C,"2.C.7 2.C.10 SA-9(5)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-9(5),,,,,,,"Art 6.1 Art 6.4 Art 26.1 Art 26.2 Art 26.3 Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10 Art 29 Art 44 Art 45.1 Art 45.2 Art 46.1 Art 46.2 Art 46.3 Art 47.1 Art 47.2 Art 48 Art 49.1 Art 49.2 Art 49.6",Article 21.3,,,Sec 10,Chapter 4 - Art 16,"Art 14 Art 27",Art 41 ,,Art 34,,,"PI-02 PSS-12",,Sec 7,Sec 2,16.3,"Sec 16 Sec 17",Sec 31,,"Art 3 Art 4","Sec 12 Sec 13 Sec 14",,"Sec 13 Sec 14","Art 1 Art 36","Art 14 Art 15",,Art 7,,,,,,,,"Sec 19 Sec 21",,,Sec 31,,,,A4.a,,,,"Article 44 Article 45(1) Article 45(2)(a) Article 45(2)(b) Article 45(2)(c) Article 46(1) Article 46(2)(a) Article 46(2)(b) Article 46(2)(c) Article 46(2)(d) Article 46(2)(e) Article 46(2)(f) Article 46(3)(a) Article 46(3)(b)",,,,,,1572,,,,,,"Article 21 Article 38 Article 38(3) Article 40",,,Art 1,Article 20,,Sec 9,,,,Sec 25,"Sec 24 Sec 26",,,"Art 17 Art 27",,"Art 9 Art 26",,,,,,,Sec 20,Art 7,Art 26,,,,Art 23,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Third-Party Contract Requirements,TPM-05,"Mechanisms exist to identify, regularly review and document third-party confidentiality, Non-Disclosure Agreements (NDAs) and other contracts that reflect the organization’s needs to protect systems and data.",- Non-Disclosure Agreements (NDAs),"E-TPM-01 E-TPM-03","Does the organization identify, regularly review and document third-party confidentiality, Non-Disclosure Agreements (NDAs) and other contracts that reflect the organization’s needs to protect systems and data?",10,Identify,X,X,X,"There is no evidence of a capability to identify, regularly review and document third-party confidentiality, Non-Disclosure Agreements (NDAs) and other contracts that reflect the organization’s needs to protect systems and data.","Third-Party Management (TPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized. • IT personnel use an informal process to govern third-party service providers.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, regularly review and document third-party confidentiality, Non-Disclosure Agreements (NDAs) and other contracts that reflect the organization’s needs to protect systems and data.",CC9.1,"CC1.1-POF5 CC2.3-POF10 CC9.2-POF1 CC9.2-POF3 CC9.2-POF9",,15.4,,15.4,15.4,APO10.03,,"IPY-04 SEF-02 STA-02 STA-04 STA-09 STA-12 UEM-14","CLS-04 IMT-01 LGL-05 LGL-06 LGL-07 LGL-08 POL-01 POL-02 SET-04",,,,"RQ-06-10 RQ-07-02 RQ-07-03.a RQ-07-03.b RQ-07-03.c RQ-07-04.a RQ-07-04.b RQ-07-04.c RQ-07-04.d RQ-07-04.e RQ-07-04.f RC-07-05 RQ-07-07",,,,"13.1.2 13.2.4 15.1.2 ","5.19 5.20 5.21 5.31 6.6 8.21 8.30","5.1.1 CLD.6.3.1 13.1.2 13.2.4 15.1.2 ",,"6.10.2.4 6.12.1.2",,,,,OR-3.4,"Sec 4(F)(2) Sec 6(D)(1) Sec 6(D)(2) Sec 6(D)(3)",,"ID.DE-P3 GV.PO-P4 GV.AT-P4","PW.3 PW.3.1",,,SA-9(3),,,,SR-3(3),,,,,SA-9(3),,,,,,SA-9(3),,,SA-9(3),SA-9(3),SA-9(3),3.1.1 ,"3.16.3.a 3.16.3.b 3.16.3.c",,"A.03.16.01 A.03.16.01.ODP[01] A.03.16.03.a A.03.16.03.ODP[01] A.03.17.03.b",,"PO.1 PO.1.1 PO.1.2 PO.1.3",ID.SC-3,"GV.OC-05 GV.SC-02 GV.SC-05 GV.SC-10",,"2.6 12.9","8.2.3 12.4.2 12.4.2.1 12.8.2 12.8.5 12.9 12.9.1 12.9.2","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","8.2.3 12.4.2 12.4.2.1 12.8.2 12.8.5 12.9.1 12.9.2","12.8.2 12.8.5",B.1.1.14,2.8A,"1.2.4 1.3.3 6.1.1 6.1.2 8.2.1 8.2.2",12.1,7.2.2.5,7.2.2.5,THIRD-PARTIES-2.F.MIL2,,"6.2 6.3","5.1.1.2 5.1.1.3 5.1.1.4 5.1.1.5 5.1.1.6 5.1.1.7 5.1.1.8 5.1.4",AC.L1-3.1.1,AC.L1-3.1.1,,,AC.L2-3.1.1,AC.L2-3.1.1,,,"252.204-7012(m)(1) 252.204-7012(m)(2)(i) 252.204-7012(m)(2)(ii) 252.204-7019(b) 252.204-7019(c)(1) 252.204-7019(c)(2) 252.204-7020(c) 252.204-7021(b) 252.204-7021(c)(1) 252.204-7021(c)(2)",,52.204-21(c),52.204-27(b),,,,,,,,,,,,,,,,,"314.4(a) 314.4(a)(1) 314.4(a)(2) 314.4(a)(3) 314.4(e)(2) 314.4(f)(1) 314.4(f)(2) 314.4(f)(3)","164.308(b)(3) 164.314 164.314(a) 164.314(a)(1) 164.314(a)(2) 164.314(a)(2)(i)(A) 164.314(a)(2)(i)(B) 164.314(a)(2)(i)(C) 164.314(a)(2)(ii) 164.314(a)(2)(iii) 164.314(b)(2) 164.314(b)(2)(i) 164.314(b)(2)(ii) 164.314(b)(2)(iii) 164.314(b)(2)(iv)",,,9.L.C,"2.C.9 SA-9(3)",,,,,,,,,5.11,,,,,,,,,"6-1-1305(3)(b) 6-1-1305(5) 6-1-1305(5)(a) 6-1-1305(5)(b) 6-1-1305(5)(c) 6-1-1305(5)(d) 6-1-1305(5)(d)(I) 6-1-1305(5)(d)(I)(A) 6-1-1305(5)(d)(I)(B) 6-1-1305(6)",,,"Sec 45(a) Sec 45(b) Sec 45(c) Sec 45(d) Sec 50",,,,,,"38-99-20(F)(2) 38-99-40(D)(1) 38-99-40(D)(2) 38-99-40(D)(3)",,,,,,,,"§ 2447(b)(6) § 2447(b)(6)(A) § 2447(b)(6)(B)","3.2.3(8) 3.2.3(8)(a) 3.2.3(8)(b)","Art 28.1(a) Art 29.2 Art 30.1 Art 30.2(a) Art 30.2(b) Art 30.2(c) Art 30.2(d) Art 30.2(e) Art 30.2(f) Art 30.2(g) Art 30.2(h) Art 30.3(a) Art 30.3(b) Art 30.3(c) Art 30.3(d) Art 30.3(e)(i) Art 30.3(e)(ii) Art 30.3(e)(iii) Art 30.3(e)(iv) Art 30.3(f)(i) Art 30.3(f)(ii) Art 30.4",,"Art 28.1 Art 28.2 Art 28.3 Art 28.4 Art 28.5 Art 28.6 Art 28.9 Art 28.10 Art 29",Article 21.3,,"Principle 2.3.a Principle 2.3.b(i) Principle 2.3.b(ii) Principle 2.3.b(iii) Principle 2.3.b(iv) Principle 2.3.b(v) Principle 2.3.b(vi) Principle 2.7.a.i Principle 2.7.a.ii Principle 2.7.a.iii Principle 2.7.b Principle 2.7.c Principle 2.7.d Principle 3.10.a.i Principle 3.10.a.ii Principle 3.10.a.ii.1 Principle 3.10.a.ii.2 Principle 3.10.a.ii.3 Principle 3.10.a.iii Principle 3.10.b.i Principle 3.10.c.i",,,,Art 42,,,,9.4,"HR-06 PI-02 SSO-02 SSO-05",,,,"11.1 11.3 11.10 16.2 19.5 22.4 25.17",,,,,,,,Art 31,Art 18,Article 12,,"4-1-1 4-1-1-1 4-1-1-2",TPC-25,,"4-1-2 4-1-2-1 4-1-2-2 4-1-2-3","4-1-1-1 4-1-1-3","Article 5 Article 11",,Sec 20,"Art 20 Art 21",7.4.1 [OP.EXT.1],,,,,A4.a,,,,"Article 3 Article 26(1) Article 26(2) Article 26(3) Article 28(1) Article 28(2) Article 28(3)(a) Article 28(3)(b) Article 28(3)(c) Article 28(3)(d) Article 28(3)(e) Article 28(3)(f) Article 28(3)(g) Article 28(3)(h) Article 28(4) Article 28(5) Article 28(6) Article 28(7) Article 28(8) Article 28(9) Article 28(10) Article 29",,,,,,"1395 1569 0072 1571 1451 1572 1573 1574 1575 1738",,"15 54(a) 54(b) 54(c) 54(d) 54(e) 54(f) 54(g) 55(a) 55(b) 55(c)","16 20 28",,,"Article 20 Article 21 Article 38(3) Article 42",,,Art 6,"Article 22 Article 23(1)(i) Article 23(1)(ii) Article 23(1)(iii) Article 23(1)(iv) Article 23(2) Article 23(2)(i) Article 23(2)(ii) Article 23(2)(iii) Article 23(2)(iv) Article 23(2)(v) Article 23(2)(vi) Article 23(2)(vii) Article 23(2)(viii) Article 23(3) Article 23(4) Article 23(5)(i) Article 23(5)(ii) Article 23(5)(iii) Article 23(6) Article 23(1)","6.3.P 6.3.1.P 6.3.1.1.PB 13.1.2 13.2.4 15.1.2 15.1.2.18.PB",,,"2.3.30.C.01 23.2.19.C.01",,"Sec 25 Sec 43",,,"3.4.1 3.4.2 3.4.3",,,,,,,,"2.3 4.26 4.28",,,,,,Art 21,,,,,,x,"FAR 52.204-21 NAIC",,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16,- updated DFARS mapping Third-Party Management ,Security Compromise Notification Agreements,TPM-05.1,"Mechanisms exist to compel External Service Providers (ESPs) to provide notification of actual or potential compromises in the supply chain that can potentially affect or have adversely affected systems, applications and/or services that the organization utilizes.",,,"Does the organization compel External Service Providers (ESPs) to provide notification of actual or potential compromises in the supply chain that can potentially affect or have adversely affected systems, applications and/or services that the organization utilizes?",9,Detect,,X,X,"There is no evidence of a capability to compel Third-Party Service Providers (TSP) to provide notification of actual or potential compromises in the supply chain that can potentially affect or have adversely affected systems, applications and/ or services that the organization utilizes.","SP-CMM1 is N/A, since a structured process is required to compel Third-Party Service Providers (TSP) to provide notification of actual or potential compromises in the supply chain that can potentially affect or have adversely affected systems, applications and/ or services that the organization utilizes.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to compel Third-Party Service Providers (TSP) to provide notification of actual or potential compromises in the supply chain that can potentially affect or have adversely affected systems, applications and/ or services that the organization utilizes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compel Third-Party Service Providers (TSP) to provide notification of actual or potential compromises in the supply chain that can potentially affect or have adversely affected systems, applications and/ or services that the organization utilizes.",,,,,,,,,,STA-02,POL-01,,,,,,,,,5.21,,,,,,,,,,,,,,,,,,,SR-8,,SR-8,SR-8,SR-8,,,SR-8,SR-8,SR-8,,SR-8,SR-8,,,SR-8,SR-8,,,,,,,,,,,,,,,,,,,,,"P.8 C.1.8",,,,,,,,"6.2 6.3",,,,,,,,,,,,,,,,,,,,,SR-8,SR-8,SR-8,SR-8,SR-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SR-8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A4.a,,,,,,,,,,1576,,,,,,,,,,,,,,"7.2.22.C.01 7.2.23.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Contract Flow-Down Requirements,TPM-05.2,Mechanisms exist to ensure cybersecurity & data privacy requirements are included in contracts that flow-down to applicable sub-contractors and suppliers.,,,Does the organization ensure cybersecurity & data privacy requirements are included in contracts that flow-down to applicable sub-contractors and suppliers?,9,Protect,,X,X,There is no evidence of a capability to ensure cybersecurity & data privacy requirements are included in contracts that flow-down to applicable sub-contractors and suppliers.,"SP-CMM1 is N/A, since a structured process is required to ensure cybersecurity & data privacy requirements are included in contracts that flow-down to applicable sub-contractors and suppliers.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure cybersecurity & data privacy requirements are included in contracts that flow-down to applicable sub-contractors and suppliers.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure cybersecurity & data privacy requirements are included in contracts that flow-down to applicable sub-contractors and suppliers.",,"CC9.2-POF1 CC9.2-POF3 CC9.2-POF9",,,,,,,,,,,,,"RQ-06-10 RQ-07-02 RQ-07-03.a RQ-07-03.b RQ-07-03.c RQ-07-04.a RQ-07-04.b RQ-07-04.c RQ-07-04.d RQ-07-04.e RQ-07-04.f RC-07-05 RQ-07-07",,,,,,,,,,,,,,,,,,,,,,,,SR-3(3),,,,,,,,,,,SR-3(3),,SR-3(3),,SR-3(3),SR-3(3),3.1.1,"3.16.3.a 3.16.3.b 3.16.3.c",,,,,,"GV.OC-05 GV.SC-02 GV.SC-05 GV.SC-10",,,,,,,,,,,,,,2.8A,,,7.2.2.5,7.2.2.5,,,,,AC.L1-3.1.1,AC.L1-3.1.1,,,AC.L2-3.1.1,AC.L2-3.1.1,,,"252.204-7012(m)(1) 252.204-7012(m)(2)(i) 252.204-7012(m)(2)(ii) 252.204-7019(b) 252.204-7019(c)(1) 252.204-7019(c)(2) 252.204-7020(c) 252.204-7021(b) 252.204-7021(c)(1) 252.204-7021(c)(2)",,52.204-21(c),52.204-27(b),,,,,,,,,,,,,,,,,,,,,,"2.C.9 SR-3(3)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.2.3(8) 3.2.3(8)(a) 3.2.3(8)(b)",Art 29.2,,,Article 21.3,,"Principle 2.3.a Principle 2.3.b(i) Principle 2.3.b(ii) Principle 2.3.b(iii) Principle 2.3.b(iv) Principle 2.3.b(v) Principle 2.3.b(vi) Principle 2.7.a.i Principle 2.7.a.ii Principle 2.7.a.iii Principle 2.7.b Principle 2.7.c Principle 2.7.d Principle 3.10.a.i Principle 3.10.a.ii Principle 3.10.a.ii.1 Principle 3.10.a.ii.2 Principle 3.10.a.ii.3 Principle 3.10.a.iii Principle 3.10.b.i Principle 3.10.c.i",,,,,,,,,,,,,,,,,,,,,,,Article 12,,,TPC-25,,,,"Article 5 Article 11",,,,,,,,,A4.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,FAR 52.204-21,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,MT-16,- updated DFARS mapping Third-Party Management ,Third-Party Authentication Practices,TPM-05.3,Mechanisms exist to ensure External Service Providers (ESPs) use unique authentication factors for each of its customers.,,,Does the organization ensure External Service Providers (ESPs) use unique authentication factors for each of its customers?,8,Protect,,X,X,There is no evidence of a capability to ensure External Service Providers (ESPs) use unique authentication factors for each of its customers.,"SP-CMM1 is N/A, since a structured process is required to ensure External Service Providers (ESPs) use unique authentication factors for each of its customers.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active External Service Providers (ESPs), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active External Service Providers (ESPs), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure External Service Providers (ESPs) use unique authentication factors for each of its customers.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure External Service Providers (ESPs) use unique authentication factors for each of its customers.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.2.3,,,,,,,,8.2.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Third-Party Management ,"Responsible, Accountable, Supportive, Consulted & Informed (RASCI) Matrix",TPM-05.4,"Mechanisms exist to document and maintain a Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to delineate assignment for cybersecurity & data privacy controls between internal stakeholders and External Service Providers (ESPs). ","- Customer Responsibility Matrix (CRM) - Shared Responsibility Matrix (SRM) - Responsible, Accountable, Supporting, Consulted and Informed (RASCI) matrix",E-CPL-03,"Does the organization document and maintain a Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to delineate assignment for cybersecurity & data privacy controls between internal stakeholders and External Service Providers (ESPs)? ",8,Identify,X,X,X,"There is no evidence of a capability to document and maintain a Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to delineate assignment for cybersecurity & data privacy controls between internal stakeholders and External Service Providers (ESPs). ","SP-CMM1 is N/A, since a structured process is required to document and maintain a Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to delineate assignment for cybersecurity & data privacy controls between internal stakeholders and External Service Providers (ESPs). ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active External Service Providers (ESPs), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active External Service Providers (ESPs), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to document and maintain a Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to delineate assignment for cybersecurity & data privacy controls between internal stakeholders and External Service Providers (ESPs). ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to document and maintain a Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to delineate assignment for cybersecurity & data privacy controls between internal stakeholders and External Service Providers (ESPs). ",,CC9.2-POF3,,,,,,,,,,,,,"RQ-06-04 RQ-07-02 RQ-07-04.a RQ-07-04.b RC-07-08",,,4.3(c),,5.23,"5.1.1 6.1.1 CLD.6.3.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.16.3.b,,"A.03.16.03.b A.03.17.03.b",,"PO.2 PO.2.1 PO.2.2 PO.2.3",,"GV.OC-02 GV.OC-04 GV.RM-05 GV.SC-02 GV.SC-05 GV.RR-02 ID.AM-04",,,"12.4.1 12.8.2 12.8.5 12.9 12.9.1 12.9.2","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.8.2 12.8.5","12.4.1 12.8.2 12.8.5 12.9.1 12.9.2","12.8.2 12.8.5",,2.8A,1.2.4,,7.2.2.5,7.2.2.5,THIRD-PARTIES-1.A.MIL1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.2.3(8) 3.2.3(8)(a) 3.2.3(8)(b) 3.3.2(16) 3.5(55)",,,,Article 21.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1-2-1-1,,,,,,,,,,A4.a,A4,,,,,,,,,,,,,,,,,,,,"6.3.P 6.3.1.P 6.3.1.1.PB 6.1.1.13.PB 6.1.3.13.PB",,,,,,,,,,,,,,,,,,,,,,,,,,,,,RASCI,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Third-Party Scope Review,TPM-05.5,"Mechanisms exist to perform recurring validation of the Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to ensure cybersecurity & data privacy control assignments accurately reflect current business practices, compliance obligations, technologies and stakeholders. ",,E-TPM-03,"Does the organization perform recurring validation of the Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to ensure cybersecurity & data privacy control assignments accurately reflect current business practices, compliance obligations, technologies and stakeholders? ",10,Identify,X,X,X,"There is no evidence of a capability to perform recurring validation of the Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to ensure cybersecurity & data privacy control assignments accurately reflect current business practices, compliance obligations, technologies and stakeholders. ","SP-CMM1 is N/A, since a structured process is required to perform recurring validation of the Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to ensure cybersecurity & data privacy control assignments accurately reflect current business practices, compliance obligations, technologies and stakeholders. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform recurring validation of the Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to ensure cybersecurity & data privacy control assignments accurately reflect current business practices, compliance obligations, technologies and stakeholders. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform recurring validation of the Responsible, Accountable, Supportive, Consulted & Informed (RASCI) matrix, or similar documentation, to ensure cybersecurity & data privacy control assignments accurately reflect current business practices, compliance obligations, technologies and stakeholders. ",,CC2.2-POF9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.17.2 3.17.3.a 3.17.3.b",,A.03.16.03.c,,,,"GV.SC-05 ID.IM-02",,,"12.5.2.1 12.5.3 12.8 12.8.1 A3.2.1 A3.2.3",12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,12.8.1,"12.5.2.1 12.5.3 12.8.1",12.8.1,,2.8A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.5(55),,,,Article 21.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1793,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,,,,,,,,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,First-Party Declaration (1PD),TPM-05.6,"Mechanisms exist to obtain a First-Party Declaration (1PD) from applicable External Service Providers (ESPs) that provides assurance of compliance with specified statutory, regulatory and contractual obligations for cybersecurity & data privacy controls, including any flow-down requirements to subcontractors. ",,,"Does the organization obtain a First-Party Declaration (1PD) from applicable External Service Providers (ESPs) that provides assurance of compliance with specified statutory, regulatory and contractual obligations for cybersecurity & data privacy controls, including any flow-down requirements to subcontractors? ",7,Identify,,X,,"There is no evidence of a capability to obtain a First-Party Declaration (1PD) from applicable External Service Providers (ESPs) that provides assurance of compliance with specified statutory, regulatory and contractual obligations for cybersecurity & data privacy controls, including any flow-down requirements to subcontractors. ","SP-CMM1 is N/A, since a structured process is required to obtain a First-Party Declaration (1PD) from applicable External Service Providers (ESPs) that provides assurance of compliance with specified statutory, regulatory and contractual obligations for cybersecurity & data privacy controls, including any flow-down requirements to subcontractors. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active External Service Providers (ESPs), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active External Service Providers (ESPs), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to obtain a First-Party Declaration (1PD) from applicable External Service Providers (ESPs) that provides assurance of compliance with specified statutory, regulatory and contractual obligations for cybersecurity & data privacy controls, including any flow-down requirements to subcontractors. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to obtain a First-Party Declaration (1PD) from applicable External Service Providers (ESPs) that provides assurance of compliance with specified statutory, regulatory and contractual obligations for cybersecurity & data privacy controls, including any flow-down requirements to subcontractors. ",,"CC9.2-POF9 CC9.2-POF11",,,,,,,,,,,,,"RQ-07-02 RQ-07-03.a RQ-07-03.b RQ-07-03.c",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2.8A,8.2.2,,7.2.2.5,7.2.2.5,THIRD-PARTIES-2.G.MIL2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.2.3(9),,,,Article 21.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Break Clauses,TPM-05.7,"Mechanisms exist to include ""break clauses"" within contracts for failure to meet contract criteria for cybersecurity and/or data privacy controls.",,E-TPM-05,"Does the organization include ""break clauses"" within contracts for failure to meet contract criteria for cybersecurity and/or data privacy controls?",9,Protect,X,X,,"There is no evidence of a capability to include ""break clauses"" within contracts for failure to meet contract criteria for cybersecurity and/ or data privacy controls.","SP-CMM1 is N/A, since a structured process is required to include ""break clauses"" within contracts for failure to meet contract criteria for cybersecurity and/ or data privacy controls.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to include ""break clauses"" within contracts for failure to meet contract criteria for cybersecurity and/ or data privacy controls.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to include ""break clauses"" within contracts for failure to meet contract criteria for cybersecurity and/ or data privacy controls.",,"P6.4-POF2 P6.5-POF1 P6.5-POF2 P6.6-POF1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,GV.SC-05,,,,,,,,,,,,,,2.8A,,,7.2.2.5,7.2.2.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 28.7(a) Art 28.7(b) Art 28.7(c) Art 28.7(d) Art 28.8 Art 28.8(a) Art 28.8(b) Art 28.8(c)",,,Article 21.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1804,,50(g),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,,,,,,,,,,,,,,,,,,,,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Third-Party Personnel Security ,TPM-06,Mechanisms exist to control personnel security requirements including security roles and responsibilities for third-party providers.,,,Does the organization control personnel security requirements including security roles and responsibilities for third-party providers?,9,Identify,,X,,There is no evidence of a capability to control personnel security requirements including security roles and responsibilities for third-party providers.,"Third-Party Management (TPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized. • IT personnel use an informal process to govern third-party service providers.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control personnel security requirements including security roles and responsibilities for third-party providers.",CC9.1,CC1.1-POF5,,,,,,APO10.03,,STA-04,POL-02,,,,,,,,,"5.2 5.19 8.30",6.1.1,,,,,,,OR-3.4,,,"ID.IM-P2 GV.PO-P4 GV.AT-P4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"PO.2 PO.2.1 PO.2.2 PO.2.3","ID.GV-2 PR.AT-3","GV.SC-05 GV.SC-06",,,,,,,,,,,,,K.8.3.1.1,,"6.1.1 6.1.2",12.1,7.2.2.5,7.2.2.5,,OPD:SG1.SP6,,,,,,,,,,,,,,,,,,,,,,,,,,,,"D1.G.SP.B.7 D4.RM.Co.B.2 D4.RM.Co.B.5",,,,,,,9.L.C,1.9.3,,,,,,,,,5.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 21.3,,,,,,,,,,,,,,,"11.1 11.3 18.10 19.5",,,,,,,,,,,,,,,,,,,,,,,,,,A4.a,,,,,,,,,,1569,,,,,,Article 52,,,,,"6.1.1.13.PB 6.1.3.13.PB",,,,,,,,,,,,,,,,2.3,,,,,,,,,,,,x,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Monitoring for Third-Party Information Disclosure ,TPM-07,Mechanisms exist to monitor for evidence of unauthorized exfiltration or disclosure of organizational information. ,,,Does the organization monitor for evidence of unauthorized exfiltration or disclosure of organizational information? ,8,Identify,,X,,There is no evidence of a capability to monitor for evidence of unauthorized exfiltration or disclosure of organizational information. ,"SP-CMM1 is N/A, since a structured process is required to monitor for evidence of unauthorized exfiltration or disclosure of organizational information. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor for evidence of unauthorized exfiltration or disclosure of organizational information. ",CC9.1,,,,,,,,,STA-11,POL-02,SO4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.22.b,,,,,,"ID.IM-02 DE.CM-06",,,,,,,,,,,,,"P.8 C.1.8",,,12.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.L.C,,,,,,,,,,,,,,,,,,,,,,,17.04(3),,,,,,,,,,,,,,,,,,,,,,,,,,,,,SSO-04,,,,"11.5 11.11",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.27,,,,,,,,,,,,x,MA 201 CMR 17,,x,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Third-Party Management ,Review of Third-Party Services,TPM-08,"Mechanisms exist to monitor, regularly review and audit External Service Providers (ESPs) for compliance with established contractual requirements for cybersecurity & data privacy controls. ",,E-TPM-03,"Does the organization monitor, regularly review and audit External Service Providers (ESPs) for compliance with established contractual requirements for cybersecurity & data privacy controls? ",9,Identify,,X,X,"There is no evidence of a capability to monitor, regularly review and audit Third-Party Service Providers (TSP) for compliance with established contractual requirements for cybersecurity & data privacy controls. ","SP-CMM1 is N/A, since a structured process is required to monitor, regularly review and audit Third-Party Service Providers (TSP) for compliance with established contractual requirements for cybersecurity & data privacy controls. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to monitor, regularly review and audit Third-Party Service Providers (TSP) for compliance with established contractual requirements for cybersecurity & data privacy controls. ","CC3.4 CC9.1","CC1.4-POF2 CC1.4-POF3 CC9.2-POF6 CC9.2-POF10 CC9.2-POF12",,15.6,,,15.6,"APO09.03 APO09.04 APO09.05 APO10.05",Principle 9,"STA-05 STA-07 STA-10 STA-11 STA-13 UEM-14",POL-02,SO4,,,,,,,"13.1.2 15.2.1 ","5.19 5.20 5.22 8.21","13.1.2 15.2.1 ",,"6.12.2 6.12.2.1",,,,"T1059.002, T1078, T1204.003, T1505, T1505.001, T1505.002, T1505.004, T1546.006, T1554, T1601, T1601.001, T1601.002",,,"MANAGE 3.0 MANAGE 3.1",,"PW.3 PW.3.1 PW.3.2",,,SA-12(2),,,,"SR-6 SR-6(1)",,,SR-6,SR-6,SR-6(1),,,SR-6,SR-6,,SR-6,,,,SR-6,SR-6,,,,A.03.16.03.c,,,ID.SC-4 ,"GV.SC-05 GV.SC-09 ID.IM-02","A02:2021 A05:2021",,"12.4.2 12.4.2.1 12.8.4",12.8.4,12.8.4,12.8.4,12.8.4,12.8.4,12.8.4,12.8.4,"12.4.2 12.4.2.1 12.8.4",12.8.4,L.9.4,2.8A,,12.1,7.2.2.5,7.2.2.5,"RISK-2.J.MIL3 THIRD-PARTIES-1.F.MIL3",,,,,,,,,,,,,,,,,,,,,,,SR-6,,SR-6,SR-6,,,,,,314.4(f)(3),,,,9.L.C,"2.C.10 SR-6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"§ 2447(b)(6) § 2447(b)(6)(A) § 2447(b)(6)(B)",3.2.3(9),Art 28.6,,,Article 21.3,,,,,,,,,,,"SSO-04 SSO-05",,,,"11.4 11.5",,,,,,,,,,,,,,,,4-1-1-4,,,,,,,,,,A4.a,,,,,,,,,,1793,,"58(a) 58(b) 58(c)",28,,,,,,,Article 24(3),"13.1.2 15.2.1",,,,,,,,3.4.3,,,,,,,,4.27,,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Third-Party Deficiency Remediation ,TPM-09,Mechanisms exist to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements. ,,E-TPM-03,Does the organization address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements? ,9,Identify,,X,X,There is no evidence of a capability to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements. ,"SP-CMM1 is N/A, since a structured process is required to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to address weaknesses or deficiencies in supply chain elements identified during independent or organizational assessments of such elements. ","CC4.2 CC9.1","P6.4-POF2 P6.5-POF1 P6.5-POF2 P6.6-POF1",,,,,,APO10.04,Principle 17,"SEF-02 SEF-06",POL-01,SO10,,,RQ-07-06,,10.1,,,5.19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"GV.SC-05 GV.SC-06 ID.RA-06","A02:2021 A05:2021",,A3.3.1.2,,,,,,,,,,T.2.1,2.8A,,12.1,7.2.2.5,7.2.2.5,RISK-2.J.MIL3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,9.L.C,,,,,,6.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"§ 2447(b)(6) § 2447(b)(6)(A) § 2447(b)(6)(B)",,,,,"Article 21.3 Article 21.4",,,,,,,,,,,SSO-04,,,,,,,,,,,,,,,,,,,4-1-2-3,,,,,,,,,,,A4.a,,,,,,,,,,,,,,,,,,,,,4.7.1,,,,,,,,,,,,,,,,"2.7 4.27",,,,,,,,,,,,x,,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Managing Changes To Third-Party Services,TPM-10,"Mechanisms exist to control changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party.","- Contact requirement to report changes to service offerings that may impact the contract. - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)",,"Does the organization control changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party?",8,Identify,X,X,X,"There is no evidence of a capability to control changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party.","SP-CMM1 is N/A, since a structured process is required to control changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party.","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to control changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party.","CC3.4 CC9.1",CC3.4-POF5,,15.7,,,15.7,APO10.04,Principle 9,"STA-05 STA-10 STA-13",,,,,,,,,15.2.2 ,"5.20 5.22",15.2.2 ,,6.12.2.2,,,,,,,,,,,,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,,,SA-4,SA-4,SA-4,,SA-4,SA-4,,SA-4,SA-4,SA-4,NFO - SA-4,3.16.1,,,,,,GV.SC-05,,,,,,,,,,,,,"B.1.1.5 B.1.1.10",2.8A,,"7.1 7.1.1 7.1.2 7.1.3",,,THIRD-PARTIES-1.F.MIL3,"EXD:SG3.SP4 RTSE:SG1.SP1 RTSE:SG1.SP2 RTSE:SG1.SP3 RTSE:SG1.SP4 RTSE:SG1.SP5",,,,,,,,,SA-4,,,,,,,,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,SA-4,,,,,,,,,9.L.C,SA-4,,,,,,,,,,,,,,,,,,,,,,17.03(2)(d)(B)(i),,,,,,,,SA-4,SA-4,SA-4,,,,,,,,Article 21.3,,,,,,,,,,,"SSO-04 SSO-05",,,,,,,,,,,,,,,,,,,,,,,,,7.4.2 [OP.EXT.2],,,,,A4.a,,,,,,,,,,1794,,,,,,,,,,Article 24(3),15.2.2,,,,,,,,,,,,,,,,4.27,,,,,,,,,,,,x,MA 201 CMR 17,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Third-Party Management ,Third-Party Incident Response & Recovery Capabilities,TPM-11,Mechanisms exist to ensure response/recovery planning and testing are conducted with critical suppliers/providers. ,,,Does the organization ensure response/recovery planning and testing are conducted with critical suppliers/providers? ,8,Identify,,X,,There is no evidence of a capability to ensure response/recovery planning and testing are conducted with critical suppliers/providers. ,"SP-CMM1 is N/A, since a structured process is required to ensure response/recovery planning and testing are conducted with critical suppliers/providers. ","Third-Party Management (TPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Third-party management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for third-party management. • A procurement function maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data. • Procurement contracts: o Require TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Contain ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies).","Third-Party Management (TPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Procurement contracts and layered defenses provide safeguards to limit harm from potential adversaries who identify and target the organization's supply chain. • A Governance, Risk & Compliance (GRC) function, or similar function; o provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to third-party management. o Operates the Cybersecurity Supply Chain Risk Management (C-SCRM) program to identify and mitigate supply chain-related risks and threats. o Evaluates risks associated with weaknesses or deficiencies in supply chain elements identified during first and/ or third-party reviews. o Enables the implementation of third-party management controls. o Ensures the Information Assurance Program (IAP) evaluates applicable cybersecurity & data privacy controls as part of “business as usual” pre-production testing. • A procurement team, or similar function: o Maintains a list of all active Third-Party Service Providers (TSP), including pertinent contract information that will assist in a risk assessment. o Requires TSP to follow secure engineering practices as part of a broader Cybersecurity Supply Chain Risk Management (C-SCRM) initiative. o Includes ""break clauses"" in all TSP contracts to enable penalty-free, early termination of a contract for cause, based on the TSP's cybersecurity and/ or data privacy practices deficiency(ies). o Controls changes to services by suppliers, taking into account the criticality of business information, systems and processes that are in scope by the third-party. o Requires a risk assessment prior to the acquisition or outsourcing of technology-related services. o Monitors, regularly reviews and audits supplier service delivery for compliance with established contract agreements. o Uses tailored acquisition strategies, contract tools and procurement methods for the purchase of unique systems, system components or services. • A Shared Responsibility Matrix (SRM) is documented for every TSP that directly or indirectly affects sensitive/regulated data.","Third-Party Management (TPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure response/recovery planning and testing are conducted with critical suppliers/providers. ","CC7.3 P6.5 P6.6",,,,,,,,,"SEF-02 SEF-06","IMT-01 OPA-05 OPA-06 POL-01",,,,,,,,,5.19,,,,,,,,,"Sec 6(D)(1) Sec 6(D)(2) Sec 6(D)(3)",,,,,,,,,,IR-4(10),,,,,IR-4(10),,,,,,IR-4(10),,IR-4(10),,IR-4(10),,,,,,,,ID.SC-5,GV.SC-08,,,"10.7 10.7.1 10.7.2 10.7.3",,,,,,,"10.7.2 10.7.3","10.7.1 10.7.2 10.7.3",,K.2.9,,,,,,,,"6.2 6.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"38-99-40(D)(1) 38-99-40(D)(2) 38-99-40(D)(3)",,,,,,,,,3.2.3(8)(b),,,,,,,,,,,,,,,,,,,25.17,,,,,,,,,,,,,,,4-1-2-2,,,,,,,,,,,A4.a,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.28,,,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Threat Management,Threat Intelligence Program,THR-01,"Mechanisms exist to implement a threat intelligence program that includes a cross-organization information-sharing capability that can influence the development of the system and security architectures, selection of security solutions, monitoring, threat hunting, response and recovery activities.",,E-THR-04,"Does the organization implement a threat intelligence program that includes a cross-organization information-sharing capability that can influence the development of the system and security architectures, selection of security solutions, monitoring, threat hunting, response and recovery activities?",8,Identify,X,X,X,"There is no evidence of a capability to implement a threat intelligence program that includes a cross-organization information-sharing capability that can influence the development of the system and security architectures, selection of security solutions, monitoring, threat hunting, response and recovery activities.","Threat Management (THR) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized. • IT personnel subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Thread Management (TM) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for TM. • A Governance, Risk & Compliance (GRC) function, or similar function, provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to TM. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including TM. • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","Threat Management (THR) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement a threat intelligence program that includes a cross-organization information-sharing capability that can influence the development of the system and security architectures, selection of security solutions, monitoring, threat hunting, response and recovery activities.",CC3.3,"CC3.2-POF7 CC3.3-POF1 CC3.3-POF2 CC3.3-POF3 CC3.3-POF4 CC3.3-POF5",,,,,,,Principle 8,,,,,,,,,,,5.7,,,,,,,,,Sec 4(D)(4),,,,,,PM-16,,,,"PM-15 PM-16",,,,,"PM-15 PM-16",,,,,,"PM-15 PM-16",,,"PM-15 PM-16","PM-15 PM-16",,"3.12.3 3.14.3","3.14.3.a 3.14.3.b 3.14.3.c",,,3.11.1e,,"ID.BE-2 ID.RA-3","DE.AE DE.AE-07",,12.6,"6.3 A3.5.1",,,,,,,,,,C.1.7,,,,,,"THREAT-1.I.MIL2 THREAT-1.L.MIL3 THREAT-1.M.MIL3 THREAT-2.A.MIL1 THREAT-2.B.MIL1 THREAT-2.C.MIL1 THREAT-2.E.MIL2 THREAT-2.F.MIL2 THREAT-2.G.MIL2 THREAT-2.H.MIL2 THREAT-2.I.MIL3 THREAT-2.J.MIL3 THREAT-2.K.MIL3 THREAT-3.A.MIL2 RISK-2.J.MIL3","COMM:SG1.SP1 OTA:SG1.SP2 OTA:SG2.SP1",8.2,,,"CA.L2-3.12.3 SI.L2-3.14.3",TBD - 3.11.1e,,"CA.L2-3.12.3 SI.L2-3.14.3","CA.L2-3.12.3 SI.L2-3.14.3 RA.L3-3.11.1e",PM-16,,,,,,,,,,,,,,,,,,,D1.G.SP.Inn.1,,,,,8.S.B,,,,,"CIP-014-2 R4",8-103,,,,,,,,,,,,,,,,,,,,,500.10,,,38-99-20(D)(4),,,"PM-15 PM-16",,,,,,,"Art 13.1 Art 45.1 Art 45.1(a) Art 45.1(b) Art 45.1(c) Art 45.2 Art 45.3",,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,"3.10 5.3",,,,,"23.1 23.4",,,,,,,,,,,,,,3.3.16,"2-10-4 2-13-1 2-13-2 2-13-3 2-13-4",,,,,,,,,,,"B4.d C1.d",,,,,,,,,,,,,17,,,,,,,,,,,,,,,,"4.2.1 13.5.1 13.5.2 14.3.1 14.3.2 14.3.3",,,,,,6.2,,1.3,"3.1.2 3.1.5",,,,,,,,,,,x,NAIC,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Threat Management,Indicators of Exposure (IOE),THR-02,Mechanisms exist to develop Indicators of Exposure (IOE) to understand the potential attack vectors that attackers could use to attack the organization. ,- Indicators of Exposure (IoE),E-THR-01,Does the organization develop Indicators of Exposure (IOE) to understand the potential attack vectors that attackers could use to attack the organization? ,8,Identify,X,X,X,There is no evidence of a capability to develop Indicators of Exposure (IOE) to understand the potential attack vectors that attackers could use to attack the organization. ,"SP-CMM1 is N/A, since a structured process is required to develop Indicators of Exposure (IOE) to understand the potential attack vectors that attackers could use to attack the organization. ","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","Threat Management (THR) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Threat Management (THR) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC3.3,,,,,,,,Principle 8,,,,,,"RQ-08-01 RQ-08-02",,,,,5.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,DE.AE-07,,,,,,,,,,,,,G.3.2,,,,,,,,8.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,23.3,,,,,,,,,,,,,,,,2-12-2-8,,,,,,,,,,"B4.d C1.d",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"14.3.1 14.3.2 14.3.3",,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,R-AM-1,,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Threat Intelligence Feeds,THR-03,"Mechanisms exist to maintain situational awareness of evolving threats by leveraging the knowledge of attacker tactics, techniques and procedures to facilitate the implementation of preventative and compensating controls.","- US-CERT mailing lists & feeds - InfraGard - Internal newsletters",E-THR-03,"Does the organization maintain situational awareness of evolving threats by leveraging the knowledge of attacker tactics, techniques and procedures to facilitate the implementation of preventative and compensating controls?",8,Identify,X,X,X,"There is no evidence of a capability to maintain situational awareness of evolving threats by leveraging the knowledge of attacker tactics, techniques and procedures to facilitate the implementation of preventative and compensating controls.","Threat Management (THR) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized. • IT personnel subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","Threat Management (THR) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to maintain situational awareness of evolving threats by leveraging the knowledge of attacker tactics, techniques and procedures to facilitate the implementation of preventative and compensating controls.",,,,,,,,,,,MON-11,,,,"RQ-08-01 RQ-08-02",,,"7.4 7.4(a) 7.4(b) 7.4(c) 7.4(d)",,5.7,,,,,,,"T1068, T1210, T1211, T1212",TS-4.2,Sec 4(D)(4),,,,,,"SI-5 SI-5(1)",SI-5,SI-5,"SI-5 SI-5(1)","PM-16(1) SI-5 SI-5(1)",,SI-5,SI-5,"SI-5 SI-5(1)",PM-16(1),,SI-5,SI-5,"SI-5 SI-5(1)",,SI-5,SI-5,SI-5,SI-5,SI-5,SI-5,3.14.3,"3.2.1.b 3.2.2.b 3.14.3.a",,"A.03.14.03.a A.03.14.03.b[01] A.03.14.03.b[02] A.03.14.03.c",3.14.6e,,"ID.RA-2 RS.AN-5","ID.RA-02 ID.RA-08",,"6.2 12.4",6.3.1,6.3.1,6.3.1,,6.3.1,6.3.1,6.3.1,6.3.1,6.3.1,,K.12.4,,,,,,"THREAT-1.A.MIL1 THREAT-1.L.MIL3 THREAT-1.M.MIL3 THREAT-2.K.MIL3 RISK-2.J.MIL3","COMM:SG2.SP1 COMM:SG2.SP2","4.5 5.2 5.3 8.2",5.10.4.4,,SI.L2-3.14.3,TBD - 3.14.6e,SI.L1-b.1.xii,SI.L2-3.14.3,"SI.L2-3.14.3 SI.L3-3.14.6e",SI-5,,,,52.204-21(b)(1)(xii),,,,SI-5 ,SI-5 ,SI-5 ,SI-5 ,SI-5 ,SI-5,SI-5,SI-5,SI-5,SI-5,,D2.TI.Ti.B.1,,,,,"8.S.B 8.M.C",,"7.L.A 8.L.B 9.L.D",SI-5,,,8-103,17.3,,,,,,SI-5 ,SI-5 ,SI-5 ,,,,,,,,,,,,,,622(2)(d)(B)(iii),38-99-20(D)(4),,,SI-5,SI-5,SI-5,,,,3.3.3(21),Art 13.1,,,,,,,,,,,,,5.3,,,,,23.2,,,,,,,,,,,,,,,"2-10-3-5 2-13-3-5","1-8-3 2-12-2-8",,,,,,,,,,"B4.d C1.d",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"12.1.1 12.1.2 12.1.3",,,,,,,,3.7,3.1.5,,,,,,,,,,,x,"FAR 52.204-21 NAIC OR 6464A",,x,"R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Insider Threat Program ,THR-04,Mechanisms exist to implement an insider threat program that includes a cross-discipline insider threat incident handling team. ,- Insider threat program,E-THR-04,Does the organization implement an insider threat program that includes a cross-discipline insider threat incident handling team? ,8,Identify,X,X,X,There is no evidence of a capability to implement an insider threat program that includes a cross-discipline insider threat incident handling team. ,"Threat Management (THR) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized. • IT personnel subscribe to threat feeds to maintain situational awareness of emerging threats. • The HR department, in conjunction with IT/cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage insider threats.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats.","Threat Management (THR) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement an insider threat program that includes a cross-discipline insider threat incident handling team. ",CC3.3,"CC3.3-POF1 CC3.3-POF2 CC3.3-POF3 CC3.3-POF4 CC3.3-POF5",,,,,,,Principle 8,,,,,,,,,,,,,,,,,,,,,,,,,,PM-12,,,,PM-12,,,,,PM-12,,,,,,PM-12,,,PM-12,PM-12,PM-12,,,,,,,,,,,,,,,,,,,,,K.16.2,,,,,,,IMC:SG1.SP1,,,,,,,,,PM-12,,,,,,,,,,,,,,,,,,,,,,,,,,,PM-12,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1625 1626",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Insider Threat Awareness,THR-05,Mechanisms exist to utilize security awareness training on recognizing and reporting potential indicators of insider threat.,,,Does the organization utilize security awareness training on recognizing and reporting potential indicators of insider threat?,8,Identify,,X,,There is no evidence of a capability to utilize security awareness training on recognizing and reporting potential indicators of insider threat.,"Threat Management (THR) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized. • IT personnel subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","Threat Management (THR) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize security awareness training on recognizing and reporting potential indicators of insider threat.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,AT-2(2),,AT-2(2),AT-2(2),AT-2(2),,AT-2(2),AT-2(2),AT-2(2),,,AT-2(2),AT-2(2),AT-2(2),,AT-2(2),AT-2(2),AT-2(2),,AT-2(2),,3.2.3,"3.2.1.a.3 3.2.2.a","3.2.3[a] 3.2.3[b]",,,,,,,,,,,,,,,,,,K.16.2,,,,,,,,,,,AT.L2-3.2.3,AT.L2-3.2.3,,AT.L2-3.2.3,AT.L2-3.2.3,AT-2(2),,,,,,,,AT-2(2) ,,AT-2(2) ,AT-2(2) ,,AT-2(2),AT-2(2),AT-2(2),AT-2(2),AT-2(2),,,,,,,,,,AT-2(2),,,,,,,,,,,AT-2(2) ,AT-2(2) ,,,,,,,,,,,,,,,,,,,,AT-2(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1625 1626",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Vulnerability Disclosure Program (VDP),THR-06,"Mechanisms exist to establish a Vulnerability Disclosure Program (VDP) to assist with the secure development and maintenance of products and services that receives unsolicited input from the public about vulnerabilities in organizational systems, services and processes.","- ""bug bounty"" program",E-TDA-16,"Does the organization establish a Vulnerability Disclosure Program (VDP) to assist with the secure development and maintenance of products and services that receives unsolicited input from the public about vulnerabilities in organizational systems, services and processes?",8,Detect,X,X,X,"There is no evidence of a capability to establish a Vulnerability Disclosure Program (VDP) to assist with the secure development and maintenance of products and services that receives unsolicited input from the public about vulnerabilities in organizational systems, services and processes.","SP-CMM1 is N/A, since a structured process is required to establish a Vulnerability Disclosure Program (VDP) to assist with the secure development and maintenance of products and services that receives unsolicited input from the public about vulnerabilities in organizational systems, services and processes.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats. • A Vulnerability Disclosure Program (VDP) is formed to receive and triage unsolicited input from the public about vulnerabilities in organizational systems, services and processes.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat. • A Vulnerability Disclosure Program (VDP) is formed to receive and triage unsolicited input from the public about vulnerabilities in organizational systems, services and processes.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to establish a Vulnerability Disclosure Program (VDP) to assist with the secure development and maintenance of products and services that receives unsolicited input from the public about vulnerabilities in organizational systems, services and processes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to establish a Vulnerability Disclosure Program (VDP) to assist with the secure development and maintenance of products and services that receives unsolicited input from the public about vulnerabilities in organizational systems, services and processes.",,,,,,,,,,,"TRN-03 SET-05",,,,,,,,,,,,,,,,,,,,,,,,,,,,RA-5(11),,RA-5(11),RA-5(11),RA-5(11),,,RA-5(11),RA-5(11),RA-5(11),,,,,,,,,,,,,,,,,,6.3.1,6.3.1,6.3.1,,6.3.1,6.3.1,6.3.1,6.3.1,6.3.1,,,,,,,,,,5.2,,,,,,,,,,,,,,,,,,,,,RA-5(11),RA-5(11),RA-5(11),RA-5(11),RA-5(11),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1616 1755 1756 1717",Principle 2,,,,,,,,,,,,,"5.9.23.C.01 5.9.24.C.01 5.9.24.C.02 5.9.25.C.01 5.9.26.C.01 5.9.26.C.02 5.9.27.C.01",,,,,13.2.2,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Threat Hunting,THR-07,"Mechanisms exist to perform cyber threat hunting that uses Indicators of Compromise (IoC) to detect, track and disrupt threats that evade existing security controls.",,E-THR-05,"Does the organization perform cyber threat hunting that uses Indicators of Compromise (IoC) to detect, track and disrupt threats that evade existing security controls?",4,Detect,X,X,X,"There is no evidence of a capability to perform cyber threat hunting that uses Indicators of Compromise (IoC) to detect, track and disrupt threats that evade existing security controls.","SP-CMM1 is N/A, since a structured process is required to perform cyber threat hunting that uses Indicators of Compromise (IoC) to detect, track and disrupt threats that evade existing security controls.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to perform cyber threat hunting that uses Indicators of Compromise (IoC) to detect, track and disrupt threats that evade existing security controls.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform cyber threat hunting that uses Indicators of Compromise (IoC) to detect, track and disrupt threats that evade existing security controls.",,,,,,,,,,,,,,,,,,,,,,,,,,,"T1068, T1190, T1195, T1195.001, T1195.002, T1210, T1211, T1212",,,,,,,,,,,,"RA-10 SC-48",,,,,"RA-10 SC-48",,,,,,RA-10,,,RA-10,RA-10,RA-10,,,,,3.11.2e,,,,,,,,,,,,,,,,,,,,"7.3.7(a) 7.3.7(b) 7.3.7(c)","7.3.7(a) 7.3.7(b) 7.3.7(c)",RISK-2.J.MIL3,,,,,,TBD - 3.11.2e,,,RA.L3-3.11.2e,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C2.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.1.2 3.1.6",,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Tainting,THR-08,Mechanisms exist to embed false data or steganographic data in files to enable the organization to determine if data has been exfiltrated and provide a means to identify the individual(s) involved.,,,Does the organization embed false data or steganographic data in files to enable the organization to determine if data has been exfiltrated and provide a means to identify the individual(s) involved?,1,Detect,X,X,X,There is no evidence of a capability to embed false data or steganographic data in files to enable the organization to determine if data has been exfiltrated and provide a means to identify the individual(s) involved.,"SP-CMM1 is N/A, since a structured process is required to embed false data or steganographic data in files to enable the organization to determine if data has been exfiltrated and provide a means to identify the individual(s) involved.","SP-CMM2 is N/A, since a well-defined process is required to embed false data or steganographic data in files to enable the organization to determine if data has been exfiltrated and provide a means to identify the individual(s) involved.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to embed false data or steganographic data in files to enable the organization to determine if data has been exfiltrated and provide a means to identify the individual(s) involved.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to embed false data or steganographic data in files to enable the organization to determine if data has been exfiltrated and provide a means to identify the individual(s) involved.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-20,,,,,SI-20,,,,,,SI-20,,SI-20,,SI-20,SI-20,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-1 R-SA-1",,,,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,,,,,,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,R-IR-1,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Threat Catalog,THR-09,"Mechanisms exist to develop and keep current a catalog of applicable internal and external threats to the organization, both natural and manmade.",,,"Does the organization develop and keep current a catalog of applicable internal and external threats to the organization, both natural and manmade?",5,Protect,X,X,X,"There is no evidence of a capability to develop and keep current a catalog of applicable internal and external threats to the organization, both natural and manmade.","SP-CMM1 is N/A, since a structured process is required to develop and keep current a catalog of applicable internal and external threats to the organization, both natural and manmade.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to develop and keep current a catalog of applicable internal and external threats to the organization, both natural and manmade.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to develop and keep current a catalog of applicable internal and external threats to the organization, both natural and manmade.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ID.RA-03,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.3 5.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1 R-SA-2",,,,,,,,R-BC-1,R-BC-2,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Threat Management,Threat Analysis,THR-10,"Mechanisms exist to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats.",,,"Does the organization identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats?",7,Protect,X,X,X,"There is no evidence of a capability to embed false data or steganographic data in files to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats.","SP-CMM1 is N/A, since a structured process is required to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats.","Threat Management (THR) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Threat management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • The HR department, in conjunction with cybersecurity personnel, helps ensure secure practices are implemented in personnel management operations to help manage threats. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls that are appropriate to address applicable statutory, regulatory and contractual requirements for threat management. o Subscribe to threat feeds to maintain situational awareness of emerging threats.","Threat Management (THR) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Security Operations Center (SOC), or similar function: o Subscribes to threat feeds to maintain situational awareness of emerging threats. o Develops Indicators of Exposure (IOE) to better understand potential attack vectors that attackers could use to attack the organization. o Implements a Threat Awareness Program (TAP) that includes a cross-organization information-sharing capability. o Implements a “threat hunting” capability to actively identify internal threats. • An Integrated Security Incident Response Team (ISIRT), or similar function, exists to form an on-demand, integrated team of cybersecurity, IT, data privacy and business function representatives that can execute coordinated incident response operations, including a cross-discipline incident handling capability. • Cybersecurity personnel enable security awareness training on recognizing and reporting potential indicators of insider threat.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats.",,,,,,,,,,,,,,,"PM-06-08 RQ-09-03.a RQ-09-03.b RQ-09-03.c RQ-09-03.d RQ-09-03.e RQ-09-03.f RQ-09-04 RQ-15-01 RQ-15-02 RQ-15-03 RQ-15-04 RQ-15-05 RQ-15-06 RQ-15-07 RQ-15-08 RQ-15-09 RQ-15-10 RQ-15-11.a RQ-15-11.b RQ-15-11.c RQ-15-12.a RQ-15-12.b RQ-15-12.c RQ-15-12.d RQ-15-12.e RQ-15-13.a RQ-15-13.b RQ-15-13.c RQ-15-13.d RQ-15-14 RQ-15-15 RQ-15-16",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.14.3.a 3.14.3.b 3.14.3.c",,,,,,ID.RA-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,17 CFR 229.106(B)(2),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"3.10 5.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1 R-SA-2",,,,,,,,R-BC-1,R-BC-2,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Vulnerability & Patch Management Program (VPMP),VPM-01,Mechanisms exist to facilitate the implementation and monitoring of vulnerability management controls.,- Vulnerability & Patch Management Program (ComplianceForge),"E-MNT-03 E-THR-05 E-VPM-01",Does the organization facilitate the implementation and monitoring of vulnerability management controls?,9,Protect,,X,X,There is no evidence of a capability to facilitate the implementation and monitoring of vulnerability management controls.,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The Chief Information Security Officer (CISO), or similar function, analyzes the organization’s business strategy to determine prioritized and authoritative guidance for Attack Surface Management (ASM) practices. • The CISO, or similar function, develops a security-focused Concept of Operations (CONOPS) that documents management, operational and technical measures to apply defense-in-depth techniques across the enterprise for ASM. • A steering committee is formally established to provide executive oversight of the cybersecurity & data privacy program, including ASM. • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation and monitoring of vulnerability management controls.",,CC3.2-POF7,,"7.0 7.1 18.0",7.1,7.1,7.1,"DSS05.07 MEA01.01",,"AIS-07 TVM-01 TVM-02 UEM-07","CLS-06 SAP-05 VLN-01 VLN-02 VLN-04",,,,"RQ-08-05 RQ-08-06 RQ-08-07.a RQ-08-07.b",,,,12.6.1 ,8.8,12.6.1 ,,"6.9.6 6.9.6.1",,,,"T1003, T1003.001, T1027, T1027.002, T1047, T1055, T1055.001, T1055.002, T1055.003, T1055.004, T1055.005, T1055.008, T1055.009, T1055.011, T1055.012, T1055.013, T1055.014, T1059, T1059.001, T1059.005, T1059.006, T1068, T1072, T1106, T1137, T1137.003, T1137.004, T1137.005, T1189, T1190, T1195, T1195.001, T1195.002, T1195.003, T1204, T1204.001, T1204.003, T1210, T1211, T1212, T1213.003, T1221, T1495, T1525, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1546.006, T1546.010, T1546.011, T1547.006, T1548.002, T1550.002, T1552, T1552.006, T1553, T1553.006, T1555.005, T1559, T1559.002, T1566, T1566.001, T1566.003, T1574, T1574.002, T1601, T1601.001, T1601.002, T1606, T1606.001, T1611",TS-4.0,Sec 4(D)(4),,PR.PO-P10,"RV.1 RV.1.1 RV.1.2 RV.1.3 RV.3 RV.3.1 RV.3.2",,,"SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)","SI-2 SI-3(2)","SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3",3.14.1,"3.11.2.a 3.11.2.b 3.11.2.c 3.14.1.a 3.14.1.b","3.14.1[a] 3.14.1[b] 3.14.1[c] 3.14.1[d] 3.14.1[e] 3.14.1[f]","A.03.14.01.a[01] A.03.14.01.a[02] A.03.14.01.a[03]",,,"ID.RA-1 PR.IP-12","ID.RA-01 ID.RA-08","A05:2021 A06:2021",,"6.3 6.3.1 6.3.3 11.3","6.3.1 6.3.3","6.3.1 6.3.3",,"6.3.1 6.3.3","6.3.1 6.3.3","6.3.1 6.3.3","6.3.1 6.3.3","6.3.1 6.3.3",,T.1,"2.2 2.7","5.2.5 5.2.6",,,,"THREAT-1.A.MIL1 THREAT-1.B.MIL1 THREAT-1.I.MIL2 RISK-2.I.MIL3","TM:SG4.SP2 VAR:SG1.SP1 VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1 VAR:SG4.SP1","5.1 5.2","5.10.4 5.10.4.1",SI.L1-3.14.1,SI.L1-3.14.1,SI.L1-3.14.1,SI.L1-b.1.xii,SI.L2-3.14.1,SI.L2-3.14.1,"SI-2 SI-3(2)",,,,52.204-21(b)(1)(xii),,,,"SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)","SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)","SI-2 SI-3(2)",SI-2,,"D2.TI.Ti.B.2 D3.DC.Th.B.1 D1.RM.RA.E.2 D3.DC.Th.E.5 D3.DC.Th.A.1 D3.CC.Re.Ev.2",,,314.4(d)(2),,"2.S.A 7.S.A","2.M.A 7.M.D","2.M.A 7.M.D 7.L.A 7.L.B 9.L.A","SI-2 SI-3",,,"8-311 8-610","9.1 17.1",,,,,5.6,SI-2,SI-2,"SI-2 SI-3(2)","III.E III.E.1 III.E III.E.2.a III.E.2.b",,,,,,,,,,,,,,38-99-20(D)(4),,,"SI-2 SI-3",SI-2,"SI-2 SI-3(2)",,,§ 2447(c)(7),"3.3.3(21) 3.4.4(36)(a)","Art 9.4(f) Art 25.1 Art 25.2 Art 25.3",,"Art 32.1 Art 32.2",Article 21.2(e),,,"Sec 14 Sec 15",Art 16,,,,,,5.6,"OPS-18 PSS-02",,,,"22.1 22.2",,,,,,,,,,,,"2-3-1-3 2-9 2-9-2",TPC-11,3.3.17,"2-3-4 2-10-1 2-10-2 2-10-3 2-10-4 2-11-1 2-11-2 2-11-3 2-11-4 5-1-3-8","2-9 2-9-1 2-9-2",,,Sec 19,,,,,,,B4.d,,5,,,,,,,,"1163 1460 1143 1493",,,17,,,,,,,,"12.6.1 12.6.1.18.PB",,,6.2.4.C.01,,,,"4.2(a) 4.2(b)","4.2.1 7.4.1 7.4.2",,,,,,6.16,,,"2.2.5 2.6 2.6.1 3.1.2 3.1.3",,,,,,,,,,,x,"FAR 52.204-21 NAIC Lockton",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Vulnerability & Patch Management ,Attack Surface Scope,VPM-01.1,Mechanisms exist to define and manage the scope for its attack surface management activities.,,,Does the organization define and manage the scope for its attack surface management activities?,5,Protect,X,X,,There is no evidence of a capability to define and manage the scope for its attack surface management activities.,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Defines the scope of ASM activities. o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define and manage the scope for its attack surface management activities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define and manage the scope for its attack surface management activities.",,CC2.2-POF9,,,,,,MEA01.01,,TVM-07,"CLS-06 VLN-02 SET-01 SET-04",,,,"RQ-09-01.a RQ-09-01.b RQ-09-01.c RQ-09-02",,4.3,,,8.8,,,,,,,,TS-4.0,,,,,,,,,,,"SA-11(6) SA-11(7)",,,,,"SA-11(6) SA-11(7)",,,,,,,,,,,,,"3.11.2.a 3.14.1.a",,,3.14.3e,,,,,,"6.3.1 6.3.2 11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.2 11.3.2.1",6.3.1,"6.3.1 6.3.2",,6.3.1,"6.3.1 11.3.1 11.3.1.3 11.3.1.2 11.3.2.1",6.3.1,"6.3.1 6.3.2 11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.1.2 11.3.2.1","6.3.1 6.3.2 11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.1.2 11.3.2.1",,"T.1 T.1.1 T.1.2","2.2 2.7 7.3A","5.2.5 5.2.6",,,,"THREAT-1.A.MIL1 THREAT-1.B.MIL1 THREAT-1.D.MIL1 THREAT-1.E.MIL2 THREAT-1.J.MIL3",VAR:SG1.SP1,,,,,TBD - 3.14.3e,,,SI.L3-3.14.3e,,,,,,,,,,,,,,,,,,,,,,,,,,,,SA-11(6),,,,"9.1 17.1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-02,,,,,,,,,,,,,,,,2-10-1-1,"TPC-27 TPC-28 TPC-29",,"2-11-3-1 5-1-3-8",2-9-1-1,,,,,,,,,,B4.d,,,,,"Principle 2.1 Principle 2.2 Principle 2.3 Principle 2.4 Principle 6.3 Principle 6.4 Principle 6.5 Principle 6.6","Principle 2.1 Principle 2.2 Principle 2.3 Principle 2.4 Principle 2.5 Principle 6.1 Principle 6.2 Principle 6.3 Principle 6.4","Principle 2.1 Principle 2.2 Principle 2.3 Principle 2.4 Principle 2.5 Principle 6.1 Principle 6.2 Principle 6.3 Principle 6.4",,,,,,,,,,,,,,4.4.4,,,6.2.4.C.01,,,,,13.1.2,,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Vulnerability Remediation Process ,VPM-02,"Mechanisms exist to ensure that vulnerabilities are properly identified, tracked and remediated.","- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,"Does the organization ensure that vulnerabilities are properly identified, tracked and remediated?",10,Protect,X,X,X,"There is no evidence of a capability to ensure that vulnerabilities are properly identified, tracked and remediated.","SP-CMM1 is N/A, since a structured process is required to ensure that vulnerabilities are properly identified, tracked and remediated.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC4.2,CC5.3-POF4,,"7.2 7.7",7.2,"7.2 7.7","7.2 7.7","DSS03.01 DSS03.02 DSS03.03 DSS03.04 DSS03.05 DSS06.04 MEA01.05",Principle 17,"AIS-07 TVM-03","CLS-06 VLN-02 VLN-04",,,,"RQ-08-07.b RQ-08-08 RQ-09-04 RQ-09-07.a RQ-09-07.b RQ-09-07.c RQ-09-07.d RQ-15-17.a RQ-15-17.b RQ-15-17.c RQ-15-17.d",,10.1,,12.6.1 ,8.8,12.6.1 ,,,,,,,TS-4.0,,,,"RV.2 RV.2.1 RV.2.2",,,"PM-4 SC-18(1)",,,,"PM-4 SC-18(1)",,,,,"PM-4 SC-18(1)",,,,,,PM-4,,,,PM-4,PM-4,,"3.11.2.b 3.14.1.a","3.11.3[a] 3.11.3[b]",,,,RS.MI-3,"ID.RA-01 ID.RA-06 ID.RA-08","A05:2021 A06:2021",,"11.3 11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.2 11.3.2.1 A3.3.1.2","11.3.2 11.3.2.1","11.3.2 11.3.2.1",,11.3.2 ,"11.3.1 11.3.1.3 11.3.1.2 11.3.2.1",,"11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.1.2 11.3.2.1","11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.1.2 11.3.2.1",,T.1.3,"2.2 2.7",,7.1,,,"THREAT-1.G.MIL2 THREAT-1.H.MIL2 THREAT-2.D.MIL1 RISK-2.I.MIL3","EC:SG3.SP2 EF:SG2.SP1 EF:SG2.SP2 KIM:SG3.SP2 PM:SG2.SP2 RISK:SG5.SP1 TM:SG3.SP2 VAR:SG1.SP2",,,,,,SI.L1-b.1.xii,,,PM-4,,,,52.204-21(b)(1)(xii),,,,,,,,,,,,,,,,,,,,"2.S.A 7.S.A","2.M.A 7.M.D","2.M.A 7.M.D 7.L.B","PM-4 SC-18(1)",,,,"9.1 17.1",6.11,,,,5.6,,,,"III.E.2.a III.E.2.b",,,,,,,,,17.03(2)(j),,,,622(2)(d)(A)(i),,,,PM-4,,,,,,,,,,Article 21.4,,,,,,,,,,,"OPS-18 PSS-02",,,,"22.8 22.11 22.13",,,,,,,,,,,,2-9-1-2,"TPC-11 TPC-91",,"2-10-3-3 5-1-3-8",2-9-1-2,,,,,,,,,,B4.d,,5,,,,,,,,,,,21,,,,,,,,"4.7.1 12.6.1 12.6.1.18.PB",,,"6.2.6.C.01 23.2.19.C.01",,,,"4.2(a) 4.2(b)","13.6.1(a) 13.6.1(b) 13.6.1(c)",,,,,,,,2.7,3.2.6,,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17 OR 6464A",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Vulnerability Ranking ,VPM-03,Mechanisms exist to identify and assign a risk ranking to newly discovered security vulnerabilities using reputable outside sources for security vulnerability information. ,- US-CERT ,,Does the organization identify and assign a risk ranking to newly discovered security vulnerabilities using reputable outside sources for security vulnerability information? ,8,Identify,,X,,There is no evidence of a capability to identify and assign a risk ranking to newly discovered security vulnerabilities using reputable outside sources for security vulnerability information. ,"SP-CMM1 is N/A, since a structured process is required to identify and assign a risk ranking to newly discovered security vulnerabilities using reputable outside sources for security vulnerability information. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify and assign a risk ranking to newly discovered security vulnerabilities using reputable outside sources for security vulnerability information. ",,,,,,,,,,TVM-08,VLN-04,,,,"RQ-08-05 RQ-08-06 RQ-08-07.a RQ-09-03.c",,,,,8.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RS.AN-5,"ID.RA-01 ID.RA-05","A05:2021 A06:2021",6.1,"6.3.1 11.3",6.3.1,6.3.1,,6.3.1,6.3.1,6.3.1,6.3.1,6.3.1,,T.1.6,,,,,,"THREAT-1.G.MIL2 RISK-2.I.MIL3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.M.D,7.M.D,,,,,,,,,,,,,,III.E.2.b,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"OPS-18 OPS-22 PSS-02",,,,22.8,,,,,,,,,,,,2-9-1-2,,,2-10-3-2,"2-9-1-2 2-9-1-3",,,,,,,,,,B4.d,,,,,,,,,,1163,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Vulnerability Exploitation Analysis,VPM-03.1,"Mechanisms exist to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats exploiting known vulnerabilities.",,,"Does the organization identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats exploiting known vulnerabilities?",5,Protect,,X,X,"There is no evidence of a capability to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats exploiting known vulnerabilities.","SP-CMM1 is N/A, since a structured process is required to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats exploiting known vulnerabilities.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats exploiting known vulnerabilities.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify, assess, prioritize and document the potential impact(s) and likelihood(s) of applicable internal and external threats exploiting known vulnerabilities. activities.",,,,,,,,,,,,,,,"RQ-08-05 RQ-08-06 RQ-08-07.a RQ-09-03.a RQ-09-03.b RQ-09-03.c RQ-09-03.d RQ-09-03.e RQ-09-03.f RQ-09-04",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,ID.RA-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-BC-1 R-BC-2 R-EX-5 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-4 R-SA-1 R-SA-2",,,,,,,,R-BC-1,R-BC-2,,,,,,,,R-EX-5,,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,R-IR-4,R-SA-1,R-SA-2,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Continuous Vulnerability Remediation Activities,VPM-04,Mechanisms exist to address new threats and vulnerabilities on an ongoing basis and ensure assets are protected against known attacks. ,- NNT Change Tracker (https://www.newnettechnologies.com),"E-MNT-03 E-THR-05",Does the organization address new threats and vulnerabilities on an ongoing basis and ensure assets are protected against known attacks? ,8,Protect,,X,,There is no evidence of a capability to address new threats and vulnerabilities on an ongoing basis and ensure assets are protected against known attacks. ,"SP-CMM1 is N/A, since a structured process is required to address new threats and vulnerabilities on an ongoing basis and ensure assets are protected against known attacks. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC4.2,,,"7.7 12.1 18.3",12.1,"7.7 12.1 18.3","7.7 12.1 18.3","DSS03.01 DSS03.02 DSS03.03 DSS03.04 DSS03.05 DSS06.04 MEA01.05",Principle 17,"AIS-07 TVM-03","CLS-06 VLN-03",,,,,,10.2,,,,,,,,,,,,,,,"RV.1 RV.1.1 RV.1.2 RV.1.3",,,SC-18(1),,,,SC-18(1),,,,,SC-18(1),,,,,,,,,,,,,"3.11.2.b 3.14.1.a 3.14.1.b",,,,,RS.MI-3,ID.RA-06,"A05:2021 A06:2021",6.6,6.3.3,6.3.3,6.3.3,,6.3.3,6.3.3,6.3.3,6.3.3,6.3.3,,"T.1.1.1 T.1.1.2 T.1.2.1 T.1.2.2",2.7,,,,,RISK-2.I.MIL3,"KIM:SG3.SP2 VAR:SG1.SP2",,,,,,SI.L1-b.1.xii,,,,,,,52.204-21(b)(1)(xii),,,,,,,,,,,,,,,D1.RM.RA.E.1,,,,,,,7.L.B,SC-18(1),,,,"9.1 17.1",6.11,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Article 21.4,,,,,,,,,,,"OPS-18 PSS-02",,,,"22.6 22.11",,,,,,,,,,,,2-9-1-3,,,2-10-3-3,"2-9-1-2 2-9-1-3",,,,,,,,,,B4.d,,,,,,,,,,1801,,,21,,,,,,,,"4.6 4.6.1",,,"6.2.6.C.01 23.2.19.C.01",,,,,"13.6.1(a) 13.6.1(b) 13.6.1(c)",,,,,,,,2.7,,,,,,,,,,,,x,FAR 52.204-21,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Stable Versions,VPM-04.1,Mechanisms exist to install the latest stable version of any software and/or security-related updates on all applicable systems.,,,Does the organization install the latest stable version of any software and/or security-related updates on all applicable systems?,8,Identify,,X,X,There is no evidence of a capability to install the latest stable version of any software and/ or security-related updates on all applicable systems.,"SP-CMM1 is N/A, since a structured process is required to install the latest stable version of any software and/ or security-related updates on all applicable systems.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to install the latest stable version of any software and/ or security-related updates on all applicable systems.",,,,12.1,12.1,12.1,12.1,,,,CLS-06,,,NDR 3.10 (15.7.3(1)),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"N.3 N.3.1 N.3.3 N.3.4",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,12.22,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Principle 6.7,,,"1467 1483",,,,,,,,,,,,,,,,,,,"7.4.1 7.4.2",,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Flaw Remediation with Personal Data (PD),VPM-04.2,"Mechanisms exist to identify and correct flaws related to the collection, usage, processing or dissemination of Personal Data (PD).",,,"Does the organization identify and correct flaws related to the collection, usage, processing or dissemination of Personal Data (PD)?",8,Identify,,X,,"There is no evidence of a capability to identify and correct flaws related to the collection, usage, processing or dissemination of Personal Data (PD).","SP-CMM1 is N/A, since a structured process is required to identify and correct flaws related to the collection, usage, processing or dissemination of Personal Data (PD).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,DSS06.04,,,,,,,,,10.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A06:2021,,,,,,,,,,,,P.1.5.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.L.B,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 5.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Sec 4,,,,,,,,,,,,,,,,,,,,,,,,,,,,4.7.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-3",,,,R-AC-4,,R-AM-2,R-AM-3,R-BC-1,R-BC-2,,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Software & Firmware Patching,VPM-05,"Mechanisms exist to conduct software patching for all deployed operating systems, applications and firmware.",- Patch management tools,E-MNT-03,"Does the organization conduct software patching for all deployed operating systems, applications and firmware?",10,Protect,,X,X,"There is no evidence of a capability to conduct software patching for all deployed operating systems, applications and firmware.","Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,"7.3 7.4 12.1 18.3","7.3 7.4 12.1","7.3 7.4 12.1 18.3","7.3 7.4 12.1 18.3",,,UEM-07,"CCM-07 CLS-06 SAP-05 VLN-01",,,"HDR 3.10 (14.5.1) NDR 3.10 (15.7.1)",,,,,12.6.1 ,8.8,12.6.1 ,,"6.9.6 6.9.6.1",,,,,TS-4.2,,,,,,,"SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)","SI-2 SI-3(2)","SI-2 SI-2(4) SI-3",,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",SI-2(4),,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3","SI-2 SI-3",,"SI-2 SI-3","SI-2 SI-3",3.11.3 ,"3.11.2.b 3.14.1.a 3.14.1.b",,"A.03.11.02.b A.03.11.02.ODP[01] A.03.14.01.b[01] A.03.14.01.b[02] A.03.14.01.ODP[01] A.03.14.01.ODP[02]",,,,ID.RA-06,A06:2021,"6.1 6.2",6.3.3,6.3.3,6.3.3,,6.3.3,6.3.3,6.3.3,6.3.3,6.3.3,,"N.3 ",2.2,"5.2.5 5.2.6",,,,,"TM:SG4.SP2 VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1 VAR:SG4.SP1",,5.10.4.1,,RA.L2-3.11.3,,SI.L1-b.1.xii,RA.L2-3.11.3,RA.L2-3.11.3,"SI-2 SI-3(2)",,,,52.204-21(b)(1)(xii),,,,"SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)","SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)",SI-2,"SI-2 SI-3(2)","SI-2 SI-3(2)",SI-2,,,,,,,"2.S.A 7.S.A","2.M.A 7.M.D","2.M.A 7.M.D","SI-2 SI-2(4) SI-3",,"CIP-007-6 R2","8-311 8-610","9.1 17.1",,,,,,SI-2,SI-2,"SI-2 SI-3(2)","III.E III.E.1",,,,,,,,,17.04(6),,,,622(2)(d)(B)(iii) ,,,,"SI-2 SI-3",SI-2,"SI-2 SI-3(2)",,,§ 2447(c)(7),,Art 9.4(f),,,,,,,,,,,,,,PSS-03,,,,12.21,,,,,,,,,,,,2-3-1-3,"TPC-11 TPC-78",,"2-3-3-3 2-10-3-4 5-1-3-9","2-3-1-3 2-4-1-15",,,,,,,,,,B4.d,,5,,,"Principle 2.5 Principle 2.6 Principle 6.5 Principle 6.6","Principle 2.6 Principle 2.7 Principle 2.8 Principle 6.5 Principle 6.6","Principle 2.6 Principle 2.7 Principle 2.8 Principle 6.5 Principle 6.6",,,"1143 1493 1690 1691 1692 1693 1694 1695 1696 1751 1697",,,21,,,,,,,,"12.6.1 12.6.1.18.PB",,,23.2.19.C.01,,,,"4.2(a) 4.2(b)","7.4.1 7.4.2",,,,,,6.16,,"4.5 4.7 4.9","2.6 2.6.1",,,,,,,,,,,x,"FAR 52.204-21 MA 201 CMR 17 OR 6464A Lockton",x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Centralized Management of Flaw Remediation Processes,VPM-05.1,Mechanisms exist to centrally-manage the flaw remediation process. ,- Patch management tools,,Does the organization centrally-manage the flaw remediation process? ,9,Protect,X,X,X,There is no evidence of a capability to centrally-manage the flaw remediation process. ,"SP-CMM1 is N/A, since a structured process is required to centrally-manage the flaw remediation process. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to centrally-manage the flaw remediation process. ",,,,"7.4 18.3",7.4,"7.4 18.3","7.4 18.3",,,"AIS-07 TVM-05 UEM-07","CCM-07 CLS-06 VLN-01",,,NDR 3.10 (15.7.3(1)),,,,,,,,,,,,,,TS-4.2,,,,,,,SI-2(1),,,SI-2(1),"PL-9 SI-2(4)",PL-9,,,,SI-2(4),,,,,,PL-9,,,PL-9,PL-9,,,,,,,,,ID.RA-01,A06:2021,"6.2 6.4.5 6.4.5.1 6.4.5.2 6.4.5.3 6.4.5.4 6.4.6","6.3 6.3.1 6.3.2 6.3.3 6.4 6.4.1 6.4.2 6.4.3","6.3.1 6.3.3 6.4.3","6.3.1 6.3.2 6.3.3 6.4.1 6.4.2 6.4.3",,"6.3.1 6.3.3","6.3.1 6.3.3","6.3.1 6.3.3","6.3.1 6.3.2 6.3.3 6.4.1 6.4.2 6.4.3","6.3.1 6.3.2 6.3.3 6.4.1 6.4.2 6.4.3",,T.1,,,,,,RISK-2.I.MIL3,,,,,,,,,,SI-2(1),,,,,,,,SI-2(1),,,SI-2(1),,,,,,,,,,,,,,,,SI-2(4),,,,,6.11,,,,5.6,,,,,,,,,,,,,17.04(7),,,,,,,,,,,,,,,,,,Article 21.4,,,,,,,,,,,PSS-03,,,,"12.21 22.11 22.12",,,,,,,,,,,,,TPC-91,,,,,,,,,,,,,B4.d,,,,,,,,,,"0300 0298",,,,,,,,,,,,,,,,,,,"7.4.1 7.4.2",,,,,,,,,,,,,,,,,,,,x,MA 201 CMR 17,x,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Automated Remediation Status,VPM-05.2,Automated mechanisms exist to determine the state of system components with regard to flaw remediation. ,"- Vulnerability scanning tools - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)",,Does the organization use automated mechanisms to determine the state of system components with regard to flaw remediation? ,9,Protect,,,X,There is no evidence of a capability to determine the state of system components with regard to flaw remediation. ,"SP-CMM1 is N/A, since a structured process is required to determine the state of system components with regard to flaw remediation. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to determine the state of system components with regard to flaw remediation. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to determine the state of system components with regard to flaw remediation. ",,,,7.4,7.4,7.4,7.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-2(2),,SI-2(2),SI-2(2),"SI-2(2) SI-2(4)",,,SI-2(2),SI-2(2),SI-2(4),,,SI-2(2),SI-2(2),,,,,,,,,,,,,,,,A06:2021,,,,,,,,,,,,J.3.2,,,,,,,,,,,,,,,,SI-2(2),,,,,,,,SI-2(2) ,,SI-2(2) ,SI-2(2) ,,SI-2(2),,SI-2(2),SI-2(2),,,,,,,,,,,"SI-2(2) SI-2(4)",,,,,,,,,,,,SI-2(2) ,,,,,,,,,,,,,,,,,,,,SI-2(2),,,,,,,,,,,,,,,,,,,,,,,"22.11 22.12",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,x,x,"R-AM-3 R-EX-6 R-EX-7 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-2 R-IR-3",,,,,,,R-AM-3,,,,,,,,,,,R-EX-6,R-EX-7,R-GV-1,,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,R-IR-2,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Vulnerability & Patch Management ,Time To Remediate / Benchmarks For Corrective Action,VPM-05.3,Mechanisms exist to track the effectiveness of remediation operations through metrics reporting.,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization track the effectiveness of remediation operations through metrics reporting?,6,Protect,,X,X,There is no evidence of a capability to track the effectiveness of remediation operations through metrics reporting.,"SP-CMM1 is N/A, since a structured process is required to track the effectiveness of remediation operations through metrics reporting.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,TVM-03,,,,,,,,,,,,,,,,,,,,,,,,,SI-2(3),,,,SI-2(3),,,,,SI-2(3),,,,,,,,,,,,,,,,,,,,A06:2021,,,,,,,,,,,,J.1.5,,,,,,,,,,,,,,,,,,,,,,,,SI-2(3) ,,SI-2(3) ,SI-2(3) ,,SI-2(3),,SI-2(3),SI-2(3),,,,,,,,,,,SI-2(3),,,,,,,,,,,,SI-2(3) ,III.E.2.a,,,,,,,,,,,,,,,,,,,SI-2(3),,,,,,,,,,,,,,,,,,,OPS-19,,,,12.22,,,,,,,,,,,,,TPC-91,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,13.6.1(b),,,,,,,,,,,,,,,,,,,,x,,x,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-2 R-IR-3",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,R-IR-2,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Automated Software & Firmware Updates,VPM-05.4,Automated mechanisms exist to install the latest stable versions of security-relevant software and firmware updates.,,,Does the organization use automated mechanisms to install the latest stable versions of security-relevant software and firmware updates?,5,Protect,,X,,There is no evidence of a capability to install the latest stable versions of security-relevant software and firmware updates.,"SP-CMM1 is N/A, since a structured process is required to install the latest stable versions of security-relevant software and firmware updates.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to install the latest stable versions of security-relevant software and firmware updates.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to install the latest stable versions of security-relevant software and firmware updates.",,,,7.4,7.4,7.4,7.4,,,"TVM-04 TVM-05","CCM-06 CCM-07 CLS-06 IAM-22 IOT-03 IOT-09 VLN-03",,,NDR 3.10 (15.7.3(1)),,,,,,,,,,,,,,,,,,,,,SI-2(5),,,,"SI-2(4) SI-2(5)",,,,,"SI-2(4) SI-2(5)",,,,,,SI-2(5),,,,SI-2(5),,,,,,,,,,,,,,,,,,,,,,J.2.10.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"SI-2(4) SI-2(5)",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,§ 2447(c)(7),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-78,,2-10-3-5,2-3-1-3,,,,,,,,,,"B4.d C1.d",,,,,,,,,,,,,,,,,,,,,,,,,,,,4.2(a),"7.4.1 7.4.2",,,,,,,,,,,,,,,,,,,,,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Vulnerability & Patch Management ,Removal of Previous Versions,VPM-05.5,Mechanisms exist to remove old versions of software and firmware components after updated versions have been installed. ,,,Does the organization remove old versions of software and firmware components after updated versions have been installed? ,5,Protect,,X,X,There is no evidence of a capability to remove old versions of software and firmware components after updated versions have been installed. ,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-2(6),,,,SI-2(6),,,,,SI-2(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"I.3.7 M.1.22 U.1.2",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,SI-2(6),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-EX-6 R-EX-7 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-2 R-IR-3",,,,,,,R-AM-3,,,,,,,,,,,R-EX-6,R-EX-7,R-GV-1,,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,R-IR-2,R-IR-3,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Vulnerability Scanning ,VPM-06,Mechanisms exist to detect vulnerabilities and configuration errors by recurring vulnerability scanning of systems and web applications.,"- External vulnerability scans (unauthenticated) - Internal vulnerability scans (authenticated) - Nessus (https://www.tenable.com/products/nessus/nessus-professional) - Qualys (https://www.qualys.com/) - Rapid7 (https://www.rapid7.com/) - CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/)",E-VPM-05,Does the organization detect vulnerabilities and configuration errors by recurring vulnerability scanning of systems and web applications?,9,Detect,,X,X,There is no evidence of a capability to detect vulnerabilities and configuration errors by recurring vulnerability scanning of systems and web applications.,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs). • Vulnerability scanning services may not be internal competencies and have to be outsourced.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Comprehensive vulnerability scanning is utilized to detect vulnerabilities and configuration errors for systems, applications and services across the enterprise. Scanning is performed in accordance with statutory, regulatory and contractual obligations for scope, recurrence and rescanning.","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",CC7.1,CC7.1-POF5,,"7.5 7.6",,"7.5 7.6","7.5 7.6",DSS05.07,,"TVM-03 TVM-07",VLN-04,,,,,,,,,8.8,,,,,,,"T1011.001, T1021.001, T1021.003, T1021.004, T1021.005, T1021.006, T1046, T1047, T1052, T1052.001, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1059, T1059.001, T1059.005, T1059.007, T1068, T1078, T1091, T1092, T1098.004, T1127, T1127.001, T1133, T1137, T1137.001, T1176, T1190, T1195, T1195.001, T1195.002, T1204.003, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1213.003, T1218, T1218.003, T1218.004, T1218.005, T1218.008, T1218.009, T1218.012, T1218.013, T1218.014, T1221, T1482, T1484, T1505, T1505.001, T1505.002, T1505.003, T1505.004, T1525, T1528, T1530, T1542.004, T1542.005, T1543, T1546.002, T1546.014, T1547.006, T1547.007, T1547.008, T1548, T1548.002, T1548.003, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1557, T1558.004, T1559, T1559.002, T1560, T1560.001, T1562, T1562.010, T1563, T1563.001, T1563.002, T1574, T1574.001, T1574.004, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1578, T1578.001, T1578.002, T1578.003, T1612",TS-4.0,,,,,,,RA-5,RA-5,RA-5,RA-5,RA-5,,RA-5,RA-5,RA-5,,,RA-5,RA-5,RA-5,,RA-5,RA-5,RA-5,,RA-5,RA-5,3.11.2,3.11.2.a,"3.11.2[a] 3.11.2[b] 3.11.2[c] 3.11.2[d] 3.11.2[e]","A.03.11.02.a[01] A.03.11.02.a[02] A.03.11.02.a[03] A.03.11.02.a[04]",,,DE.CM-8,,"A05:2021 A06:2021",11.2,"6.4.1 11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.2 11.3.2.1","11.3.2 11.3.2.1","6.4.1 11.3.2 11.3.2.1",,11.3.2,"11.3.1 11.3.1.3 11.3.1.2 11.3.2.1",,"6.4.1 11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.1.2 11.3.2.1","6.4.1 11.3.1 11.3.1.1 11.3.1.2 11.3.1.3 11.3.1.2 11.3.2.1",,"T.1.1 T.1.1.1 T.1.1.2 T.1.2 T.1.2.1 T.1.2.2",2.7,,,,,"THREAT-1.B.MIL1 THREAT-1.C.MIL1 THREAT-1.D.MIL1 THREAT-1.F.MIL2 THREAT-1.K.MIL3","MON:SG2.SP1 MON:SG2.SP2 MON:SG2.SP3 MON:SG2.SP4 VAR:SG2.SP1 VAR:SG2.SP2 VAR:SG2.SP3 VAR:SG3.SP1 VAR:SG4.SP1",5.6,,,RA.L2-3.11.2,RA.L2-3.11.2,,RA.L2-3.11.2,RA.L2-3.11.2,RA-5,,,,,,,,RA-5 ,RA-5 ,RA-5 ,RA-5 ,RA-5 ,RA-5,RA-5,RA-5,RA-5,RA-5,,D3.DC.Th.E.5,,,"314.4(d)(2) 314.4(d)(2)(ii)",,"2.S.A 7.S.A","7.M.A 7.M.B","7.M.A 7.M.B 7.L.A 9.L.A 9.L.B",RA-5,,"CIP-010-2 R3",8-614,,,,,,5.6,RA-5 ,RA-5 ,RA-5 ,,,,,,,,,,,,500.05,,"622(2)(B)(iii) 622(2)(d)(A)(iii) ",,,,RA-5,RA-5,RA-5,,,,,"Art 25.1 Art 25.2 Art 25.3",,,,,,,,,,,,,5.6,"OPS-22 PSS-02 PSS-03",,,,"3.4 9.25 12.30 22.3 22.6",,,,,,,,,,,,"2-9-1-1 2-9-2",TPC-85,,2-10-3-1,,,,,,,,,,,"B2.b B4.d",,,,,"Principle 2.2 Principle 2.3 Principle 2.4 Principle 6.2 Principle 6.3 Principle 6.4","Principle 2.2 Principle 2.3 Principle 2.4 Principle 2.5","Principle 2.2 Principle 2.3 Principle 2.4 Principle 2.5",,,"1163 1698 1699 1700 1701 1702 1752 1703",,,,,,,,,,,,,,6.2.5.C.01,,,,,"13.1.1 13.1.2",,,,,,6.15,,2.5,3.1.3,,,,,,,,,,,x,OR 6464A,x,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Update Tool Capability,VPM-06.1,Mechanisms exist to update vulnerability scanning tools.,,,Does the organization update vulnerability scanning tools?,8,Protect,,X,X,There is no evidence of a capability to update vulnerability scanning tools.,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist and technologies are configured update vulnerability scanning tools.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Administrative processes exist and technologies are configured update vulnerability scanning tools.","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to update vulnerability scanning tools.",,,,,,,,,,"TVM-04 TVM-05",,,,,,,,,,,,,,,,,,,,,,,,,"RA-5(1) RA-5(2)",,"RA-5(1) RA-5(2)","RA-5(1) RA-5(2)","RA-5 RA-5(2)",,"RA-5 RA-5(2)","RA-5 RA-5(2)","RA-5 RA-5(2)",,,"RA-5 RA-5(2)","RA-5 RA-5(2)","RA-5 RA-5(2)",,RA-5,RA-5,RA-5,,RA-5,RA-5,"NFO - RA-5(1) NFO - RA-5(2)",3.11.2.c,,"A.03.11.02.c[01] A.03.11.02.c[02] A.03.11.02.c[03]",,,,,,,11.3.1,,,,,11.3.1,,11.3.1,11.3.1,,"T.3.1 T.4",,,,,,,,,,,,,,,,"RA-5(1) RA-5(2)",,,,,,,,"RA-5(1) RA-5(2) ",,"RA-5(1) RA-5(2) ","RA-5(1) RA-5(2) ",,RA-5(2),RA-5(2),RA-5(2),RA-5(2),RA-5(2),,,,,,,,,,"RA-5 RA-5(2)",,,,,,,,,,,,"RA-5(1) RA-5(2) ",,,,,,,,,,,,,,,,,,RA-5,,"RA-5(1) RA-5(2)",,,,,,,,,,,,,,,,,,,PSS-03,,,,22.7,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Principle 2.2 Principle 6.2","Principle 2.2 Principle 6.2","Principle 2.2 Principle 6.2",,,1808,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Breadth / Depth of Coverage ,VPM-06.2,Mechanisms exist to identify the breadth and depth of coverage for vulnerability scanning that define the system components scanned and types of vulnerabilities that are checked for. ,"- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/) - NNT Change Tracker (https://www.newnettechnologies.com)",,Does the organization identify the breadth and depth of coverage for vulnerability scanning that define the system components scanned and types of vulnerabilities that are checked for? ,8,Protect,,X,X,There is no evidence of a capability to identify the breadth and depth of coverage for vulnerability scanning that define the system components scanned and types of vulnerabilities that are checked for. ,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to identify the breadth and depth of coverage for vulnerability scanning that define the system components scanned and types of vulnerabilities that are checked for. ","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Administrative processes exist to identify the breadth and depth of coverage for vulnerability scanning that define the system components scanned and types of vulnerabilities that are checked for. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to identify the breadth and depth of coverage for vulnerability scanning that define the system components scanned and types of vulnerabilities that are checked for. ",,,,,,,,,,,VLN-04,,,,,,,,,,,,,,,,,,,,,,,,RA-5(3),,,,RA-5(3),,,,,RA-5(3),,,,,,RA-5(3),,,,RA-5(3),RA-5(3),,,,,,,,,,,11.3.1,,,,,11.3.1,,11.3.1,11.3.1,,G.3.2,,,,,,"THREAT-1.B.MIL1 THREAT-1.C.MIL1 THREAT-1.D.MIL1 THREAT-1.F.MIL2 THREAT-1.K.MIL3",,,,,,,,,,RA-5(3),,,,,,,,RA-5(3) ,,RA-5(3) ,RA-5(3) ,,RA-5(3),,RA-5(3),RA-5(3),,,,,,,,,,,,,,,,,,,,,,,RA-5(3) ,,,,,,,,,,,,,,,,,,,,RA-5(3),,,,,,,,,,,,,,,,,,,,,,,22.6,,,,,,,,,,,,2-9-2-1,,,2-11-3-1,,,,,,,,,,,B4.d,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Privileged Access,VPM-06.3,Mechanisms exist to implement privileged access authorization for selected vulnerability scanning activities. ,- Authenticated scans,,Does the organization implement privileged access authorization for selected vulnerability scanning activities? ,9,Protect,,,X,There is no evidence of a capability to implement privileged access authorization for selected vulnerability scanning activities. ,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to implement privileged access authorization for selected vulnerability scanning activities. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to implement privileged access authorization for selected vulnerability scanning activities. ",,,,,,,,,,IAM-09,,,,,,,,,,,,,,,,,,,,,,,,,RA-5(5),,RA-5(5),RA-5(5),RA-5(5),,,RA-5(5),RA-5(5),,,,RA-5(5),RA-5(5),,,,,,,,3.11.2,,,,,,,,,,,,,,,,,,,,T.1,,,,,,,,,,,RA.L2-3.11.2,,,RA.L2-3.11.2,RA.L2-3.11.2,RA-5(5),,,,,,,,RA-5(5) ,,RA-5(5) ,RA-5(5) ,,RA-5(5),,RA-5(5),RA-5(5),,,,,,,,,,,RA-5(5),,,,,,,,,,,,RA-5(5) ,,,,,,,,,,,,,,,,,,,,RA-5(5),,,,,,,,,,,,,,,,,,,,,,,22.9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Trend Analysis,VPM-06.4,Automated mechanisms exist to compare the results of vulnerability scans over time to determine trends in system vulnerabilities. ,- CimTrak Integrity Suite (https://www.cimcor.com/cimtrak/),,Does the organization use automated mechanisms to compare the results of vulnerability scans over time to determine trends in system vulnerabilities? ,9,Identify,,X,X,There is no evidence of a capability to compare the results of vulnerability scans over time to determine trends in system vulnerabilities. ,"SP-CMM1 is N/A, since a structured process is required to compare the results of vulnerability scans over time to determine trends in system vulnerabilities. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist and technologies are configured to compare the results of vulnerability scans over time to determine trends in system vulnerabilities. ","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Administrative processes exist and technologies are configured to compare the results of vulnerability scans over time to determine trends in system vulnerabilities. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to compare the results of vulnerability scans over time to determine trends in system vulnerabilities. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RA-5(6),,,,RA-5(6),,,,,RA-5(6),,,,,,RA-5(6),,,,RA-5(6),RA-5(6),,,,,,,,,,,,,,,,,,,,,I.4.2,,,,,,,,,,,,,,,,,,,,,,,,RA-5(6) ,,RA-5(6) ,RA-5(6) ,,,,,,,,,,,,,,,,,,,,,,,,,5.6,,,RA-5(6) ,,,,,,,,,,,,,,,,,,,,RA-5(6),,,,,,,,,,,,,,,,,,,OPS-20,,,,22.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,,, Vulnerability & Patch Management ,Review Historical Event Logs,VPM-06.5,Mechanisms exist to review historical event logs to determine if identified vulnerabilities have been previously exploited. ,,,Does the organization review historical event logs to determine if identified vulnerabilities have been previously exploited? ,9,Detect,,X,X,There is no evidence of a capability to review historical event logs to determine if identified vulnerabilities have been previously exploited. ,"SP-CMM1 is N/A, since a structured process is required to review historical event logs to determine if identified vulnerabilities have been previously exploited. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RA-5(8),,,,RA-5(8),,,,,RA-5(8),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.3.2,,,,,,,,,,,,,,,,,,,,,,,,RA-5(8) ,,RA-5(8) ,RA-5(8) ,,RA-5(8),,,RA-5(8),,,,,,,,,,,,,,,,,,,,,,,RA-5(8) ,,,,,,,,,,,,,,,,,,,,RA-5(8),,,,,,,,,,,,,,,,,,,OPS-20,,,,22.10,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- wordsmithed control Vulnerability & Patch Management ,External Vulnerability Assessment Scans,VPM-06.6,"Mechanisms exist to perform quarterly external vulnerability scans (outside the organization's network looking inward) via a reputable vulnerability service provider, which include rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Common Vulnerability Scoring System (CVSS).",,E-VPM-05,"Does the organization perform quarterly external vulnerability scans (outside the organization's network looking inward) via a reputable vulnerability service provider, which include rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Common Vulnerability Scoring System (CVSS)?",9,Detect,,X,X,"There is no evidence of a capability to perform quarterly external vulnerability scans (outside the organization's network looking inward) via a reputable vulnerability service provider, which include rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Comm on Vulnerability Scoring System (CVSS).","Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform quarterly external vulnerability scans (outside the organization's network looking inward) via a reputable vulnerability service provider, which include rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Comm on Vulnerability Scoring System (CVSS).",,,,7.5,,7.5,7.5,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.2 11.2.2 11.2.3","6.4.1 11.3.2 11.3.2.1",,6.4.1,,,,,6.4.1,6.4.1,,"T.1.2 T.1.2.1 T.1.2.2 T.1.3 T.1.3 T.1.6",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-02,,,,22.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Internal Vulnerability Assessment Scans,VPM-06.7,"Mechanisms exist to perform quarterly internal vulnerability scans, which includes all segments of the organization's internal network, as well as rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Common Vulnerability Scoring System (CVSS).",,E-VPM-05,"Does the organization perform quarterly internal vulnerability scans, which includes all segments of the organization's internal network, as well as rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Common Vulnerability Scoring System (CVSS)?",9,Detect,,X,X,"There is no evidence of a capability to perform quarterly internal vulnerability scans, which includes all segments of the organization's internal network, as well as rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Comm on Vulnerability Scoring System (CVSS).","Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to perform quarterly internal vulnerability scans, which includes all segments of the organization's internal network, as well as rescans until passing results are obtained or all “high” vulnerabilities are resolved, as defined by the Comm on Vulnerability Scoring System (CVSS).",,,,7.6,,7.6,7.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.2 11.2.1 11.2.3","11.3.1.2 11.3.1.3",,,,,11.3.1.3,,"11.3.1.2 11.3.1.3","11.3.1.2 11.3.1.3",,"T.1.1 T.1.1.1 U.1.12.2 T.1.1.2 T.1.3",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,PSS-02,,,,22.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Acceptable Discoverable Information,VPM-06.8,Mechanisms exist to define what information is allowed to be discoverable by adversaries and take corrective actions to remediated non-compliant systems.,,,Does the organization define what information is allowed to be discoverable by adversaries and take corrective actions to remediated non-compliant systems?,5,Protect,,X,,There is no evidence of a capability to define what information is allowed to be discoverable by adversaries and take corrective actions to remediated non-compliant systems.,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes and technologies prevent the public disclosure of internal address information. ","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Administrative processes and technologies prevent the public disclosure of internal address information. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to define what information is allowed to be discoverable by adversaries and take corrective actions to remediated non-compliant systems.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to define what information is allowed to be discoverable by adversaries and take corrective actions to remediated non-compliant systems.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RA-5(4),,,RA-5(4),RA-5(4),,,,RA-5(4),,,,,RA-5(4),,,,,,,,,,,,,,,,,,1.4.5,,1.4.5,,,,,1.4.5,1.4.5,,"P.9.6 T.1.5.6",,,,,,,,,,,,,,,,,,,,,,,,RA-5(4),,,RA-5(4),,RA-5(4),,,RA-5(4),,,,,,,,,,,RA-5(4),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,14.1.14.C.01,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-7 R-GV-1 R-SA-1",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,,,R-EX-7,R-GV-1,,,,,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Correlate Scanning Information,VPM-06.9,Automated mechanisms exist to correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.,,,Does the organization use automated mechanisms to correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors?,5,Detect,,X,X,There is no evidence of a capability to correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.,"SP-CMM1 is N/A, since a structured process is required to correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. ","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to correlate the output from vulnerability scanning tools to determine the presence of multi-vulnerability/multi-hop attack vectors.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RA-5(10),,,,RA-5(10),,,,,RA-5(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RA-5(10),,,RA-5(10),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,"R-AM-3 R-EX-6 R-EX-7 R-GV-1 R-SA-1",,,,,,,R-AM-3,,,,,,,,,,,R-EX-6,R-EX-7,R-GV-1,,,,,,,,,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,,, Vulnerability & Patch Management ,Penetration Testing ,VPM-07,Mechanisms exist to conduct penetration testing on systems and web applications.,,"E-VPM-02 E-VPM-03",Does the organization conduct penetration testing on systems and web applications?,9,Detect,,X,,There is no evidence of a capability to conduct penetration testing on systems and web applications.,"Vulnerability & Patch Management (VPM) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized. • IT personnel apply software patches through an informal process. • Occasional vulnerability scanning is conducted on High Value Assets (HVAs). • Penetration testing services may not be internal competencies and have to be outsourced.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • IT/cybersecurity personnel conduct annual penetration testing on network segments hosting High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Cybersecurity personnel conduct annual penetration testing on network segments hosting High Value Assets (HVAs).","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to conduct penetration testing on systems and web applications.",,,,"18.0 18.1 18.2 18.4 18.5",,"18.1 18.2","18.1 18.2 18.4 18.5",,,TVM-06,"SET-02 SET-04",,,,,,,,,,,,,,,,"T1021.001, T1021.005, T1053, T1053.001, T1053.002, T1053.003, T1053.005, T1059, T1068, T1078, T1176, T1195.003, T1204.003, T1210, T1211, T1212, T1213, T1213.001, T1213.002, T1482, T1484, T1495, T1505, T1505.001, T1505.002, T1505.004, T1525, T1528, T1530, T1542, T1542.001, T1542.003, T1542.004, T1542.005, T1543, T1548, T1548.002, T1550.001, T1552, T1552.001, T1552.002, T1552.004, T1552.006, T1553, T1553.006, T1554, T1558.004, T1560, T1560.001, T1562, T1563, T1574, T1574.001, T1574.005, T1574.007, T1574.008, T1574.009, T1574.010, T1578, T1578.001, T1578.002, T1578.003, T1601, T1601.001, T1601.002, T1612",TS-4.1,,,,,,,CA-8,,,CA-8,"CA-8 SA-11(5)",,,,CA-8,SA-11(5),,,,CA-8,,,,,,,,,,,,3.12.1e,,,,,"11.3 11.3.1 11.3.2 11.3.3 11.3.4","11.4 11.4.1 11.4.2 11.4.3 11.4.4 11.4.5 11.4.6 11.4.7 A3.2.4",,"11.4.1 11.4.3 11.4.4 11.4.5",,11.4.5,11.4.5,,"11.4.1 11.4.2 11.4.3 11.4.4 11.4.5","11.4.1 11.4.2 11.4.3 11.4.4 11.4.5 11.4.6 11.4.7",,"T.1.5.4 T.1.5.5 T.1.5.12",7.3A,,,,,,"VAR:SG2.SP1 VAR:SG2.SP2",5.6,,,,TBD - 3.12.1e,,,CA.L3-3.12.1e,,,,,,,,,CA-8 ,,CA-8 ,CA-8 ,,CA-8,CA-8,CA-8,CA-8,CA-8,,,,,"314.4(d)(2) 314.4(d)(2)(i)",,,,7.L.A,"CA-8 SA-11(5)",,,"8-610 8-614",,,,,,,,CA-8 ,CA-8 ,III.F.2.c,,,,,,,,,,,500.05,,,,,,CA-8,,CA-8,,,,,"Art 26.1 Art 26.2 Art 26.3 Art 26.4 Art 26.5 Art 26.6 Art 26.7 Art 26.8 Art 26.8(a) Art 26.8(b) Art 26.8(c)",,,,,,,,,,,,,5.6,"OPS-19 PSS-02",,,,"3.4 12.30 17.17 22.4 22.5",,,,,,,,,,,,"2-10 2-10-1-1 2-10-1-2 2-10-2","TPC-27 TPC-28 TPC-29",,2-11-3-1,"2-10 2-10-1 2-10-1-1 2-10-1-2 2-10-1-3 2-10-1-4 2-10-2",,,,,,,,,,B4.d,,,,,,,,,,1163,,,,,,,,,,,,,,,,,,,"13.2.1 13.2.3 13.2.4",,,,,,6.15,,2.6,,,,,,,,,,,,x,,x,x,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Independent Penetration Agent or Team,VPM-07.1,Mechanisms exist to utilize an independent assessor or penetration team to perform penetration testing.,,E-VPM-04,Does the organization utilize an independent assessor or penetration team to perform penetration testing?,6,Detect,,X,,There is no evidence of a capability to utilize an independent assessor or penetration team to perform penetration testing.,"SP-CMM1 is N/A, since a structured process is required to utilize an independent assessor or penetration team to perform penetration testing.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to use an independent assessor or penetration team to perform penetration testing.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Administrative processes exist to use an independent assessor or penetration team to perform penetration testing.","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize an independent assessor or penetration team to perform penetration testing.",,,,,,,,,,,"SET-02 SET-03 SET-04",,,,,,,,,,,,,,,,,,,,,,,,CA-8(1),,,,CA-8(1),,,,CA-8(1),,,,,CA-8(1),,,,,,,,,,,,,,,,,,"11.4.1 11.4.2 11.4.3 11.4.5 11.4.6",,11.4.5,,11.4.5,11.4.5,,"11.4.1 11.4.2 11.4.3 11.4.5","11.4.1 11.4.2 11.4.3 11.4.5 11.4.6",,T.1.5.2,,,,,,,,5.6,,,,,,,,,,,,,,,,CA-8(1) ,,CA-8(1) ,CA-8(1) ,,CA-8(1),,CA-8(1),CA-8(1),,,,,,,,,,7.L.A,,,,,,,,,,,,CA-8(1) ,CA-8(1) ,,,,,,,,,,,,,,,,,,,,CA-8(1),,,,,"Art 27.1(a) Art 27.1(b) Art 27.1(c) Art 27.1(d) Art 27.1(e) Art 27.2(a) Art 27.2(b) Art 27.2(c) Art 27.3",,,,,,,,,,,,,,"OPS-19 PSS-02",,,,"17.16 17.17 22.4 22.5",,,,,,,,,,,,2-10-1-2,,,,,,,,,,,,,,B4.d,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-2 R-AC-3 R-AC-4 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,,,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Technical Surveillance Countermeasures Security ,VPM-08,Mechanisms exist to utilize a technical surveillance countermeasures survey.,"- Facility sweeping for ""bugs"" or other unauthorized surveillance technologies.",,Does the organization utilize a technical surveillance countermeasures survey?,1,Detect,,X,,There is no evidence of a capability to utilize a technical surveillance countermeasures survey.,"SP-CMM1 is N/A, since a structured process is required to utilize a technical surveillance countermeasures survey.","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to use a technical surveillance countermeasures survey.","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Administrative processes exist to use a technical surveillance countermeasures survey.","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a technical surveillance countermeasures survey.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,RA-6,,,,RA-6,,,,,RA-6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"E.1.5 ",,,,,,,"IMC:SG2.SP1 VAR:SG2.SP1",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"8.1.13.C.01 8.1.13.C.02",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-EX-6 R-EX-7 R-GV-1 R-SA-1",,,,,,,,,,,,,,,,,,R-EX-6,R-EX-7,R-GV-1,,,,,,,,,,,,R-SA-1,,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Reviewing Vulnerability Scanner Usage,VPM-09,Mechanisms exist to monitor logs associated with scanning activities and associated administrator accounts to ensure that those activities are limited to the timeframes of legitimate scans. ,- Security Incident Event Manager (SIEM),,Does the organization monitor logs associated with scanning activities and associated administrator accounts to ensure that those activities are limited to the timeframes of legitimate scans? ,3,Detect,,X,X,There is no evidence of a capability to monitor logs associated with scanning activities and associated administrator accounts to ensure that those activities are limited to the timeframes of legitimate scans. ,"SP-CMM1 is N/A, since a structured process is required to monitor logs associated with scanning activities and associated administrator accounts to ensure that those activities are limited to the timeframes of legitimate scans. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Logs of vulnerability scanning activities and associated administrator accounts are reviewed to ensure that those activities are limited to the timeframes of legitimate scans. ","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Logs of vulnerability scanning activities and associated administrator accounts are reviewed to ensure that those activities are limited to the timeframes of legitimate scans. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Vulnerability & Patch Management (VPM) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,J.3.2,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,,,"R-AM-3 R-BC-1 R-BC-2 R-GV-1 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-SA-1",,,,,,,R-AM-3,R-BC-1,R-BC-2,,,,,,,,,,,R-GV-1,,,,,R-GV-6,R-GV-7,R-GV-8,R-IR-1,,,,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Vulnerability & Patch Management ,Red Team Exercises,VPM-10,"Mechanisms exist to utilize ""red team"" exercises to simulate attempts by adversaries to compromise systems and applications in accordance with organization-defined rules of engagement. ","- ""red team"" exercises",,"Does the organization utilize ""red team"" exercises to simulate attempts by adversaries to compromise systems and applications in accordance with organization-defined rules of engagement? ",3,Detect,,X,,"There is no evidence of a capability to utilize ""red team"" exercises to simulate attempts by adversaries to compromise systems and applications in accordance with organization-defined rules of engagement. ","SP-CMM1 is N/A, since a structured process is required to utilize ""red team"" exercises to simulate attempts by adversaries to compromise systems and applications in accordance with organization-defined rules of engagement. ","Vulnerability & Patch Management (VPM) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Attack Surface Management (ASM) is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel: o Identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for ASM. o Apply software patches and other vulnerability remediation efforts. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed. • Administrative processes exist to use red team exercises to simulate attempts by adversaries to compromise systems and applications in accordance with organization-defined rules of engagement. ","Vulnerability & Patch Management (VPM) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • An IT Asset Management (ITAM) function, or similar function, categorizes devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • A Governance, Risk & Compliance (GRC) function, or similar function: o Defines the scope of ASM activities. o Provides governance oversight for the implementation of applicable statutory, regulatory and contractual cybersecurity & data privacy controls to protect the confidentiality, integrity, availability and safety of the organization’s applications, systems, services and data with regards to ASM. o Provides oversight of ASM activities to centrally manage the flaw remediation process as part of the organization’s overall Patch& Vulnerability & Patch Management Program (VPMP). • A Security Operations Center (SOC), or similar function: o Manages the identification, tracking and remediation of vulnerabilities. o Utilizes a Security Incident Event monitor (SIEM), or similar automated tool, to monitor for unauthorized activities, accounts, connections, devices and software according to organization-specific Indicators of Compromise (IoC), including feeds from applications, hosts, network devices and vulnerability scanners. • Asset custodians install the latest stable version of security-related updates on all systems within the organization-defined time requirements. • Administrative processes exist to use red team exercises to simulate attempts by adversaries to compromise systems and applications in accordance with organization-defined rules of engagement. ","Vulnerability & Patch Management (VPM) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize ""red team"" exercises to simulate attempts by adversaries to compromise systems and applications in accordance with organization-defined rules of engagement. ",,,,,,,,,,,SET-03,,,,,,,,,,,,,,,,,,,,,,,,CA-8(2),,,,CA-8(2),,,,,CA-8(2),,,,,,,,,,,,,,,,,,DE.DP-3,,,,,,,,,,,,,,"T.1.5.13 T.1.5.14",,,,,,,,5.6,,,,,,,,,,,,,,,,,,,,,CA-8(2),,CA-8(2),CA-8(2),,,D3.DC.Ev.Int.2,,,,,,,,,,,,,,,,,,,,,III.F.2.c,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5.6,,,,,,,,,,,,,,,,,,,,,2-13-1-9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"13.3.1 13.3.2 13.4.1 13.4.2",,,,,,,,,,,,,,,,,,,,x,,,x,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1 R-SA-2",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,R-SA-2,"NT-1 NT-2 NT-3 NT-4 NT-5 NT-6 NT-7 NT-8 NT-9 NT-10 NT-11 NT-12 NT-13 NT-14 MT-1 MT-2 MT-3 MT-4 MT-5 MT-6 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",NT-1,NT-2,NT-3,NT-4,NT-5,NT-6,NT-7,NT-8,NT-9,NT-10,NT-11,NT-12,NT-13,NT-14,MT-1,MT-2,MT-3,MT-4,MT-5,MT-6,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Web Security,WEB-01,"Mechanisms exist to facilitate the implementation of an enterprise-wide web management policy, as well as associated standards, controls and procedures.",,,"Does the organization facilitate the implementation of an enterprise-wide web management policy, as well as associated standards, controls and procedures?",8,Protect,X,X,X,"There is no evidence of a capability to facilitate the implementation of an enterprise-wide web management policy, as well as associated standards, controls and procedures.","Web Security (WEB) efforts are ad hoc and inconsistent. CMM Level 1 control maturity would reasonably expect all, or at least most, the following criteria to exist: • The management of Internet-facing technologies are decentralized. • Internet-facing technologies are governed no differently from internal network assets.","Web Security (WEB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Internet-facing technologies management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Internet-facing technologies management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed (e.g., Demilitarized Zones (DMZs)). • Internet-facing technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to facilitate the implementation of an enterprise-wide web management policy, as well as associated standards, controls and procedures.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to facilitate the implementation of an enterprise-wide web management policy, as well as associated standards, controls and procedures.",,,,,,,,,,,,,,,,,,,,,,,6.10.1.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"A.03.13.01.a[01] A.03.13.01.a[02] A.03.13.01.b A.03.13.01.c",,,,,,"1.3.1 1.3.2 1.3.4","6.4 6.4.1 6.4.2",,"6.4.1 6.4.2",,,,,"6.4.1 6.4.2","6.4.1 6.4.2",,P.6.1,,,,,,,,5.4,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,6.M.A,6.M.A,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,,,,,,,,,,,,,"2-12 2-12-1-1 2-12-1-2",,,"2-15-1 2-15-2 2-15-3 2-15-4",,,,,,8.8.2 [MP.S.2],,,,,,,,,,,,,,,,,,,,,,,,,,,,,"14.5.6.C.01 14.5.7.C.01 14.5.8.C.01",,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,x,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15 MT-16",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,MT-16, Web Security ,Unauthorized Code,WEB-01.1,Mechanisms exist to prevent unauthorized code from being present in a secure page as it is rendered in a client’s browser.,,,Does the organization prevent unauthorized code from being present in a secure page as it is rendered in a client’s browser?,9,Protect,,X,X,There is no evidence of a capability to prevent unauthorized code from being present in a secure page as it is rendered in a client’s browser.,"SP-CMM1 is N/A, since a structured process is required to prevent unauthorized code from being present in a secure page as it is rendered in a client’s browser.","Web Security (WEB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Internet-facing technologies management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Internet-facing technologies management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed (e.g., Demilitarized Zones (DMZs)). • Internet-facing technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to prevent unauthorized code from being present in a secure page as it is rendered in a client’s browser.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to prevent unauthorized code from being present in a secure page as it is rendered in a client’s browser.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.4.3,6.4.3,6.4.3,,,,,6.4.3,6.4.3,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Web Security ,Use of Demilitarized Zones (DMZ),WEB-02,"Mechanisms exist to utilize a Demilitarized Zone (DMZ) to restrict inbound traffic to authorized devices on certain services, protocols and ports.",,,"Does the organization utilize a Demilitarized Zone (DMZ) to restrict inbound traffic to authorized devices on certain services, protocols and ports?",9,Protect,,X,X,"There is no evidence of a capability to utilize a Demilitarized Zone (DMZ) to restrict inbound traffic to authorized devices on certain services, protocols and ports.","SP-CMM1 is N/A, since a structured process is required to utilize a Demilitarized Zone (DMZ) to restrict inbound traffic to authorized devices on certain services, protocols and ports.","Web Security (WEB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Internet-facing technologies management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Internet-facing technologies management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed (e.g., Demilitarized Zones (DMZs)). • Internet-facing technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","Web Security (WEB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to utilize a Demilitarized Zone (DMZ) to restrict inbound traffic to authorized devices on certain services, protocols and ports.",,,,,,,,,,,,,,,,,,,13.1.3,8.22,,,6.10.1.3,,,,,"TS-1.9 TS-1.15 TS-2.0",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,A.03.13.01.b,,,,,,"1.3.1 1.3.2 1.3.4",,,,,,,,,,,"N.7 N.7.1 N.7.3",1.1,,,,,,,5.4,,,,,SC.L1-b.1.xi,,,,,,,52.204-21(b)(1)(xi),,,,,,,,,,,,,,,,,,,,,"6.M.A 6.M.B","6.M.A 6.M.B",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"Art 32.1 Art 32.2",,,,"Sec 14 Sec 15",Art 16,,,,,,,,,,,,,,,,,,,,,,,,TPC-41,,,"2-4-1-10 2-4-1-13",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,x,,"R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-GV-8 R-IR-4 R-SA-1",,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,R-GV-8,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Web Application Firewall (WAF),WEB-03,Mechanisms exist to deploy Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. ,- Web Application Firewall (WAF),,Does the organization deploy Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats? ,8,Protect,,X,X,There is no evidence of a capability to deploy Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. ,"SP-CMM1 is N/A, since a structured process is required to deploy Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. ","Web Security (WEB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Internet-facing technologies management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Internet-facing technologies management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed (e.g., Demilitarized Zones (DMZs)). • Internet-facing technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","Web Security (WEB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to deploy Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. ",,,,"4.4 13.10",,4.4,"4.4 13.10",,,,,,,,,,,,,,,,,,,,,TS-2.4,,,,,,,SC-7(17),,,,SC-7(17),,,,,SC-7(17),,,,,,,,,,,,,,,,,,,,,,"6.4 6.4.1 6.4.2",,"6.4.1 6.4.2",,,,,"6.4.1 6.4.2","6.4.1 6.4.2",,I.3.19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,6.M.A,6.M.A,SC-7(17),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,TPC-79,,2-15-3-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"4.3 4.4",,,,,,,,,,,,x,,,,"R-AM-1 R-AM-3 R-BC-1 R-BC-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-IR-4 R-SA-1",,,,,R-AM-1,,R-AM-3,R-BC-1,,,R-BC-4,,,,,,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,,,,,,,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Client-Facing Web Services,WEB-04,"Mechanisms exist to deploy reasonably-expected security controls to protect the confidentiality and availability of client data that is stored, transmitted or processed by the Internet-based service.",- OWASP,,"Does the organization deploy reasonably-expected security controls to protect the confidentiality and availability of client data that is stored, transmitted or processed by the Internet-based service?",10,Protect,,X,X,"There is no evidence of a capability to deploy reasonably-expected security controls to protect the confidentiality and availability of client data that is stored, transmitted or processed by the Internet-based service.","SP-CMM1 is N/A, since a structured process is required to deploy reasonably-expected security controls to protect the confidentiality and availability of client data that is stored, transmitted or processed by the Internet-based service.","Web Security (WEB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Internet-facing technologies management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Internet-facing technologies management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed (e.g., Demilitarized Zones (DMZs)). • Internet-facing technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","Web Security (WEB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to deploy reasonably-expected security controls to protect the confidentiality and availability of client data that is stored, transmitted or processed by the Internet-based service.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.1.2,,,8.2,,,,,,,,,,AC.L1-b.1.iv,,,,,,,52.204-21(b)(1)(iv),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"2-12 2-12-1-1 2-12-1-2",,,,,,,Sec 19,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,FAR 52.204-21,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Cookie Management,WEB-05,"Mechanisms exist to provide individuals with clear and precise information about cookies, in accordance with applicable legal requirements for cookie management.",,,"Does the organization provide individuals with clear and precise information about cookies, in accordance with applicable legal requirements for cookie management?",5,Identify,,X,X,"There is no evidence of a capability to provide individuals with clear and precise information about cookies, in accordance with applicable legal requirements for cookie management.","SP-CMM1 is N/A, since a structured process is required to provide individuals with clear and precise information about cookies, in accordance with applicable legal requirements for cookie management.","Web Security (WEB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Internet-facing technologies management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Internet-facing technologies management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed (e.g., Demilitarized Zones (DMZs)). • Internet-facing technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","Web Security (WEB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to provide individuals with clear and precise information about cookies, in accordance with applicable legal requirements for cookie management.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7.1.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,P.6.1.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,(25),,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AM-3 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-GV-1 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7",,,,,,,R-AM-3,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,,R-GV-1,,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,,,,,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Strong Customer Authentication (SCA),WEB-06,Mechanisms exist to implement Strong Customer Authentication (SCA) for consumers to reasonably prove their identity.,,,Does the organization implement Strong Customer Authentication (SCA) for consumers to reasonably prove their identity?,8,Protect,,X,X,There is no evidence of a capability to implement Strong Customer Authentication (SCA) for consumers to reasonably prove their identity.,"SP-CMM1 is N/A, since a structured process is required to implement Strong Customer Authentication (SCA) for consumers to reasonably prove their identity.","Web Security (WEB) efforts are requirements-driven and formally governed at a local/regional level, but are not consistent across the organization. CMM Level 2 control maturity would reasonably expect all, or at least most, the following criteria to exist: • Internet-facing technologies management is decentralized (e.g., a localized/regionalized function) and uses non-standardized methods to implement secure and compliant practices. • IT/cybersecurity personnel identify cybersecurity & data privacy controls to address applicable statutory, regulatory and contractual requirements for Internet-facing technologies management. • Administrative processes and technologies focus on protecting High Value Assets (HVAs), including environments where sensitive/regulated data is stored, transmitted and processed (e.g., Demilitarized Zones (DMZs)). • Internet-facing technologies are configured to protect data with the strength and integrity commensurate with the classification or sensitivity of the information and mostly conform to industry-recognized standards for hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides), including cryptographic protections for sensitive/regulated data.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","Web Security (WEB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","Web Security (WEB) efforts are “world-class” capabilities that leverage predictive analysis (e.g., machine learning, AI, etc.). In addition to CMM Level 4 criteria, CMM Level 5 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Stakeholders make time-sensitive decisions to support operational efficiency, which may include automated remediation actions. ▪ Based on predictive analysis, process improvements are implemented according to “continuous improvement” practices that affect process changes. ",,,,,,,,,,"IAM-01 IAM-02 IAM-14",,,,,,,,,,,,,,,,,,,,,PR.AC-P1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,8.3.10,,,,,,,,8.3.10,,P.5.5.6.6,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,Art 4,,,,,,,,,,PSS-05,,,,,,,,,,,,,,,,2-12-1-1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,x,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-10 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,MT-10,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Web Security Standard,WEB-07,Mechanisms exist to ensure the Open Web Application Security Project (OWASP) Application Security Verification Standard is incorporated into the organization's Secure Systems Development Lifecycle (SSDLC) process.,,,Does the organization ensure the Open Web Application Security Project (OWASP) Application Security Verification Standard is incorporated into the organization's Secure Systems Development Lifecycle (SSDLC) process?,9,Protect,,X,X,There is no evidence of a capability to ensure the Open Web Application Security Project (OWASP) Application Security Verification Standard is incorporated into the organization's Secure Systems Development Lifecycle (SSDLC) process.,"SP-CMM1 is N/A, since a structured process is required to ensure the Open Web Application Security Project (OWASP) Application Security Verification Standard is incorporated into the organization's Secure Systems Development Lifecycle (SSDLC) process.","SP-CMM2 is N/A, since a well-defined process is required to ensure the open Web Application Security Project (OWASP) Application Security Verification Standard is incorporated into the organization's Secure Systems Development Lifecycle (SSDLC) process.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure the Open Web Application Security Project (OWASP) Application Security Verification Standard is incorporated into the organization's Secure Systems Development Lifecycle (SSDLC) process.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure the Open Web Application Security Project (OWASP) Application Security Verification Standard is incorporated into the organization's Secure Systems Development Lifecycle (SSDLC) process.",,,,"16.0 16.1 16.7",,"16.1 16.7","16.1 16.7",,,AIS-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.1.10 1.2.11.6 1.3.2.3.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-12-1-2,,,,,,,,,,,,,,,,,,,,,,,,"1239 0971",,,,,,,,,,,,,,"14.5.7.C.01 14.5.8.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Web Application Framework,WEB-08,"Mechanisms exist to ensure a robust Web Application Framework is used to aid in the development of secure web applications, including web services, web resources and web APIs.",,,"Does the organization ensure a robust Web Application Framework is used to aid in the development of secure web applications, including web services, web resources and web APIs?",9,Protect,,X,X,"There is no evidence of a capability to ensure a robust Web Application Framework is used to aid in the development of secure web applications, including web services, web resources and web APIs.","SP-CMM1 is N/A, since a structured process is required to ensure a robust Web Application Framework is used to aid in the development of secure web applications, including web services, web resources and web APIs.","SP-CMM2 is N/A, since a well-defined process is required to ensure a robust Web Application Framework is used to aid in the development of secure web applications, including web services, web resources and web APIs.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure a robust Web Application Framework is used to aid in the development of secure web applications, including web services, web resources and web APIs.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure a robust Web Application Framework is used to aid in the development of secure web applications, including web services, web resources and web APIs.",,,,"16.0 16.1",,16.1,16.1,,,AIS-04,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"1.1.10 1.2.11.6 1.3.2.3.8",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-12-1-1,,,,,,,,,,,,,,,,,,,,,,,,1239,,,,,,,,,,,,,,"14.5.7.C.01 14.5.8.C.01",,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Validation & Sanitization,WEB-09,Mechanisms exist to ensure all input handled by a web application is validated and/or sanitized.,,,Does the organization ensure all input handled by a web application is validated and/or sanitized?,9,Protect,,X,X,There is no evidence of a capability to ensure all input handled by a web application is validated and/ or sanitized.,"SP-CMM1 is N/A, since a structured process is required to ensure all input handled by a web application is validated and/ or sanitized.","SP-CMM2 is N/A, since a well-defined process is required to ensure all input handled by a web application is validated and/ or sanitized.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure all input handled by a web application is validated and/ or sanitized.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure all input handled by a web application is validated and/ or sanitized.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.1.16,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1240,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Secure Web Traffic,WEB-10,"Mechanisms exist to ensure all web application content is delivered using cryptographic mechanisms (e.g., TLS).",,,"Does the organization ensure all web application content is delivered using cryptographic mechanisms (e?g?, TLS)?",9,Protect,,X,X,"There is no evidence of a capability to ensure all web application content is delivered using cryptographic mechanisms (e.g., TLS).","SP-CMM1 is N/A, since a structured process is required to ensure all web application content is delivered using cryptographic mechanisms (e.g., TLS).","SP-CMM2 is N/A, since a well-defined process is required to ensure all web application content is delivered using cryptographic mechanisms (e.g., TLS).","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure all web application content is delivered using cryptographic mechanisms (e.g., TLS).","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure all web application content is delivered using cryptographic mechanisms (e.g., TLS).",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,I.3.6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-12-1-1,,,,,,,,,,,,,,,,,,,,,,,,1552,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Output Encoding,WEB-11,Mechanisms exist to ensure output encoding is performed on all content produced by a web application to reduce the likelihood of cross-site scripting and other injection attacks.,,,Does the organization ensure output encoding is performed on all content produced by a web application to reduce the likelihood of cross-site scripting and other injection attacks?,9,Protect,,X,X,There is no evidence of a capability to ensure output encoding is performed on all content produced by a web application to reduce the likelihood of cross-site scripting and other injection attacks.,"SP-CMM1 is N/A, since a structured process is required to ensure output encoding is performed on all content produced by a web application to reduce the likelihood of cross-site scripting and other injection attacks.","SP-CMM2 is N/A, since a well-defined process is required to ensure output encoding is performed on all content produced by a web application to reduce the likelihood of cross-site scripting and other injection attacks.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure output encoding is performed on all content produced by a web application to reduce the likelihood of cross-site scripting and other injection attacks.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure output encoding is performed on all content produced by a web application to reduce the likelihood of cross-site scripting and other injection attacks.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,C.1.8,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,1241,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Web Browser Security,WEB-12,"Mechanisms exist to ensure web applications implement Content-Security-Policy, HSTS and X-Frame-Options response headers to protect both the web application and its users.",,,"Does the organization ensure web applications implement Content-Security-Policy, HSTS and X-Frame-Options response headers to protect both the web application and its users?",9,Protect,,X,X,"There is no evidence of a capability to ensure web applications implement Content-Security-Policy, HSTS and X-Frame-Options response headers to protect both the web application and its users.","SP-CMM1 is N/A, since a structured process is required to ensure web applications implement Content-Security-Policy, HSTS and X-Frame-Options response headers to protect both the web application and its users.","SP-CMM2 is N/A, since a well-defined process is required to ensure web applications implement Content-Security-Policy, HSTS and X-Frame-Options response headers to protect both the web application and its users.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to ensure web applications implement Content-Security-Policy, HSTS and X-Frame-Options response headers to protect both the web application and its users.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to ensure web applications implement Content-Security-Policy, HSTS and X-Frame-Options response headers to protect both the web application and its users.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,2-12-1-1,,,,,,,,,,,,,,,,,,,,,,,,1424,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-AM-2 R-AM-3 R-BC-2 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-7 R-GV-1 R-GV-2 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-4",,,,R-AC-4,,R-AM-2,R-AM-3,,R-BC-2,,,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,,R-EX-7,R-GV-1,R-GV-2,,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,,,R-IR-4,,,"NT-7 MT-1 MT-2 MT-7 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,MT-2,,,,,MT-7,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,, Web Security ,Website Change Detection,WEB-13,"Mechanisms exist to detect and respond to Indicators of Compromise (IoC) for unauthorized alterations, additions, deletions or changes on websites that store, process and/or transmit sensitive / regulated data. ",,,"Does the organization detect and respond to Indicators of Compromise (IoC) for unauthorized alterations, additions, deletions or changes on websites that store, process and/or transmit sensitive / regulated data? ",8,Detect,,,X,"There is no evidence of a capability to detect and respond to Indicators of Compromise (IoC) for unauthorized alterations, additions, deletions or changes on websites that store, process and/ or transmit sensitive / regulated data. ","SP-CMM1 is N/A, since a structured process is required to detect and respond to Indicators of Compromise (IoC) for unauthorized alterations, additions, deletions or changes on websites that store, process and/ or transmit sensitive / regulated data. ","SP-CMM2 is N/A, since a well-defined process is required to detect and respond to Indicators of Compromise (IoC) for unauthorized alterations, additions, deletions or changes on websites that store, process and/ or transmit sensitive / regulated data. ","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","See SP-CMM3. SP-CMM4 is N/A, since a quantitatively-controlled process is not necessary to detect and respond to Indicators of Compromise (IoC) for unauthorized alterations, additions, deletions or changes on websites that store, process and/ or transmit sensitive / regulated data. ","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to detect and respond to Indicators of Compromise (IoC) for unauthorized alterations, additions, deletions or changes on websites that store, process and/ or transmit sensitive / regulated data. ",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"11.6 11.6.1",11.6.1,11.6.1,,,,,11.6.1,11.6.1,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-1 R-AC-2 R-AC-3 R-AC-4 R-AM-1 R-AM-2 R-AM-3 R-BC-1 R-BC-2 R-BC-3 R-BC-4 R-BC-5 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-2 R-GV-3 R-GV-4 R-GV-5 R-GV-6 R-GV-7 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",R-AC-1,R-AC-2,R-AC-3,R-AC-4,R-AM-1,R-AM-2,R-AM-3,R-BC-1,R-BC-2,R-BC-3,R-BC-4,R-BC-5,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,R-GV-2,R-GV-3,R-GV-4,R-GV-5,R-GV-6,R-GV-7,,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"MT-8 MT-9 MT-12 MT-13 MT-14 MT-15",,,,,,,,,,,,,,,,,,,,,,MT-8,MT-9,,,MT-12,MT-13,MT-14,MT-15,, Web Security ,Publicly Accessible Content Reviews,WEB-14,"Mechanisms exist to routinely review the content on publicly accessible systems for sensitive/regulated data and remove such information, if discovered.",,,"Does the organization routinely review the content on publicly accessible systems for sensitive/regulated data and remove such information, if discovered?",7,Identify,,X,,"There is no evidence of a capability to routinely review the content on publicly accessible systems for sensitive/regulated data and remove such information, if discovered.","SP-CMM1 is N/A, since a structured process is required to routinely review the content on publicly accessible systems for sensitive/regulated data and remove such information, if discovered.","SP-CMM2 is N/A, since a well-defined process is required to routinely review the content on publicly accessible systems for sensitive/regulated data and remove such information, if discovered.","Web Security (WEB) efforts are standardized across the organization and centrally managed, where technically feasible, to ensure consistency. CMM Level 3 control maturity would reasonably expect all, or at least most, the following criteria to exist: • A Validated Architecture Design Review (VADR) evaluates Internet-facing design criteria for secure practices and conformance with requirements for applicable statutory, regulatory and contractual controls to determine if the system/application/service is designed, built and operated in a secure and resilient manner. • A change notification capability exists to scan web pages for changes, which are reviewed by appropriate personnel to determine if changes are authorized or unuathorized. • Ongoing content reviews are performed to ensure web pages do not contain non-public information. • Security engineering, or a similar function, ensures that Internet-facing devices conform to industry-recognized standards for configuration hardening (e.g., DISA STIGs, CIS Benchmarks or OEM security guides) for test, development, staging and production environments. This includes creating special hardening requirements for High-Value Assets (HVAs). • An Identity & Access Management (IAM) function, or similar function, enables the implementation of identification and access management controls for Internet-facing technologies. • Technologies are configured to implement Strong Customer Authentication (SCA) for consumers to prove their identity. • Administrative processes exist and technologies are configured to provide Internet-facing individuals (e.g., customers, users, clients, etc.) with clear and precise information about cookies, in accordance with regulatory requirements for cookie management. • An IT Asset Management (ITAM) function, or similar function, categorizes network devices according to the data the asset stores, transmits and/ or processes and applies the appropriate technology controls to protect the asset and data. • Boundary protections: o Utilize Web Application Firewalls (WAFs) to provide defense-in-depth protection for application-specific threats. o Restrict inbound traffic to authorized devices on certain services, protocols and ports.","Web Security (WEB) efforts are metrics driven and provide sufficient management insight (based on a quantitative understanding of process capabilities) to predict optimal performance, ensure continued operations and identify areas for improvement. In addition to CMM Level 3 criteria, CMM Level 4 control maturity would reasonably expect all, or at least most, the following criteria to exist: ▪ Metrics reporting includes quantitative analysis of Key Performance Indicators (KPIs). ▪ Metrics reporting includes quantitative analysis of Key Risk Indicators (KRIs). ▪ Scope of metrics, KPIs and KRIs covers organization-wide cybersecurity & data privacy controls, including functions performed by third-parties. ▪ Organizational leadership maintains a formal process to objectively review and respond to metrics, KPIs and KRIs (e.g., monthly or quarterly review). ▪ Based on metrics analysis, process improvement recommendations are submitted for review and are handled in accordance with change control processes. ▪ Both business and technical stakeholders are involved in reviewing and approving proposed changes.","See SP-CMM4. SP-CMM5 is N/A, since a continuously-improving process is not necessary to routinely review the content on publicly accessible systems for sensitive/regulated data and remove such information, if discovered.",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,3.1.22.b,,"A.03.01.22.b[01] A.03.01.22.b[02]",,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,"R-AC-4 R-EX-1 R-EX-2 R-EX-3 R-EX-4 R-EX-5 R-EX-6 R-EX-7 R-GV-1 R-GV-4 R-GV-6 R-GV-8 R-IR-1 R-IR-2 R-IR-3 R-IR-4 R-SA-1",,,,R-AC-4,,,,,,,,,R-EX-1,R-EX-2,R-EX-3,R-EX-4,R-EX-5,R-EX-6,R-EX-7,R-GV-1,,,R-GV-4,,R-GV-6,,R-GV-8,R-IR-1,R-IR-2,R-IR-3,R-IR-4,R-SA-1,,"NT-7 MT-1 MT-8 MT-9 MT-11 MT-12 MT-13 MT-14 MT-15",,,,,,,NT-7,,,,,,,,MT-1,,,,,,,MT-8,MT-9,,MT-11,MT-12,MT-13,MT-14,MT-15,,- New control